DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

A••••••• A••••• C•••••• A•••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 168805SEC 801-80101websiteIAPD
Latest filing Mar 27, 2025
First filing on the tape Jul 14, 2014 · 18 filings
SEC status approved since Jul 22, 2014
RAUM
$327M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$327M as of Mar 27, 2025
Mar 30, 2015$91.8M then
HNW client RAUM$0 as of Mar 27, 2025
Mar 21, 2018$117,961 then
State-registered IARs (5.B.3)2 as of Mar 27, 2025
Mar 30, 20152 then
Employees (5.A)6 as of Mar 27, 2025
Mar 30, 20155 then
Private funds: no history
RAUM -17% over the last fiscal year-33% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2025; every figure names its basis
RAUM per advisor
$164MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
$65.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-29%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$171M52%
  • State and municipal entities$140M43%
  • Insurance companies$14.7M4.5%
  • Pooled investment vehicles$2.1M0.6%
Individual clients
0reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E•••• B••••••• B•••• · Chief Executive Officer, Chief Investment Officercontrol
    since 07/2014 · owns less than 5%
  • R•••• E•••••• S••••• · Executive Chairmancontrol
    since 07/2014 · owns less than 5%
  • E•••• B••••••• B•••• · Sole Shareholdercontrol
    since 01/2009 · owns 75% or more of S•••••• R••••• C••••••• I•••
  • R•••• E•••••• S••••• · Trustee Of E••••• R••• Trust (Sole Member Of A••••••• A••••• I••••••••• M••••••••• L••)control
    since 03/1983 · owns 75% or more of A••••••• A••••• I••••••••• M••••••••• L••
  • M•••••• C•••••• E•••••• · Chief Operating Officer, Portfolio Manager
    since 01/2021 · owns 5% to 10%
  • S•••••••• J••••• L••• · Senior Vice President, General Counsel, Chief Compliance Officer
    since 12/2012 · owns less than 5%
  • Z••••• M•• · Vice President, Chief Financial Officer
    since 12/2021 · owns less than 5%
Entity owners
  • A••••••• A••••• I••••••••• M••••••••• L•• · Member
    direct · owns 25% to 50%
  • S•••••• R••••• C••••••• I••• · Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
  • A••••••• A••••• I••••••••• M••••••••• L••
    investment adviserpooled vehicle sponsoryRAUM $5.9B
  • E••••••• I•••••••• C••••••
    real estaten
  • I•• C••••••• I•••••••• C••••••
    real estaten
  • I•• N••••••• I•••••••• C••••••
    real estaten
  • I•• P•••••• I•••••••• C••••••
    real estaten
  • I••• L••
    real estaten
  • I•••••••• C•••••• O• T•• W•••
    real estaten
  • V••••••• I•••••••• C••••••
    real estaten
Advisers that list A••••••• A••••• C•••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
La Jolla, Ca000
San Diego, Ca · principal000
Offices
Schedule D 1.F, the 25 largest
  • La Jolla, CA4 employees
What changed
consecutive filings, newest first
  • Corporate clients · 2 to 1
    Mar 25, 2024 to Mar 27, 2025
  • HNW clients · 7 to 5
    Mar 25, 2024 to Mar 27, 2025
  • Financial planning clients · unset to
    Mar 25, 2024 to Mar 27, 2025
  • Discretionary RAUM · $396M to $327M
    Mar 25, 2024 to Mar 27, 2025
  • Pooled vehicle RAUM · $1.9M to $2.1M
    Mar 25, 2024 to Mar 27, 2025
  • RAUM · $396M to $327M
    Mar 25, 2024 to Mar 27, 2025
  • Accounts · 6 to 5
    Oct 10, 2023 to Mar 25, 2024
  • Advisory employees · 4 to 3
    Oct 10, 2023 to Mar 25, 2024
  • Charity clients · 1 to 0
    Oct 10, 2023 to Mar 25, 2024
  • Employees · 7 to 6
    Oct 10, 2023 to Mar 25, 2024
  • State-registered IARs · 3 to 2
    Oct 10, 2023 to Mar 25, 2024
  • Discretionary RAUM · $472M to $396M
    Oct 10, 2023 to Mar 25, 2024
  • Pooled vehicle RAUM · $1.8M to $1.9M
    Oct 10, 2023 to Mar 25, 2024
  • RAUM · $472M to $396M
    Oct 10, 2023 to Mar 25, 2024
  • Accounts · 5 to 6
    Mar 30, 2022 to Mar 9, 2023
  • Charity clients · 0 to 1
    Mar 30, 2022 to Mar 9, 2023
  • Discretionary RAUM · $1.1B to $472M
    Mar 30, 2022 to Mar 9, 2023
  • Pooled vehicle RAUM · $1.5M to $1.8M
    Mar 30, 2022 to Mar 9, 2023
  • RAUM · $1.1B to $472M
    Mar 30, 2022 to Mar 9, 2023
  • Accounts · 3 to 5
    Mar 15, 2021 to Mar 30, 2022
  • Advisory activities · 4 to 5
    Mar 15, 2021 to Mar 30, 2022
  • Corporate clients · 1 to 2
    Mar 15, 2021 to Mar 30, 2022
  • HNW clients · 4 to 7
    Mar 15, 2021 to Mar 30, 2022
  • Pooled vehicle clients · 0 to 1
    Mar 15, 2021 to Mar 30, 2022
  • Discretionary RAUM · $737M to $1.1B
    Mar 15, 2021 to Mar 30, 2022
  • Pooled vehicle RAUM · $0 to $1.5M
    Mar 15, 2021 to Mar 30, 2022
  • RAUM · $737M to $1.1B
    Mar 15, 2021 to Mar 30, 2022
  • Accounts · 4 to 3
    Jun 30, 2020 to Mar 15, 2021
  • Advisory employees · 2 to 4
    Jun 30, 2020 to Mar 15, 2021
  • HNW clients · 1 to 4
    Jun 30, 2020 to Mar 15, 2021
  • Employees · 6 to 7
    Jun 30, 2020 to Mar 15, 2021
  • State-registered IARs · 2 to 3
    Jun 30, 2020 to Mar 15, 2021
  • Discretionary RAUM · $420M to $737M
    Jun 30, 2020 to Mar 15, 2021
  • HNW RAUM · $24,319 to $0
    Jun 30, 2020 to Mar 15, 2021
  • RAUM · $420M to $737M
    Jun 30, 2020 to Mar 15, 2021
  • Accounts · 5 to 4
    Mar 12, 2019 to Mar 18, 2020
  • Discretionary RAUM · $455M to $420M
    Mar 12, 2019 to Mar 18, 2020
  • HNW RAUM · $17,743 to $24,319
    Mar 12, 2019 to Mar 18, 2020
  • RAUM · $455M to $420M
    Mar 12, 2019 to Mar 18, 2020
  • Accounts · 6 to 5
    Mar 21, 2018 to Mar 12, 2019
Signals
8 dated events
  • A••••••• A••••• C•••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $327.3M)
    Jan 2, 2026 · Left the SEC roster · derived
  • C••••• E•••••• M••••• left A••••••• A••••• C•••••• A•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2025-09-10)
    Sep 11, 2025 · Advisor changed firm · fact
  • E••• E••• left A••••••• A••••• C•••••• A•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2024-04-08)
    Mar 1, 2024 · Advisor changed firm · fact
  • A••••••• A••••• C•••••• A•••••••• L•• reported RAUM $472.1M, down 56% from $1.1B (2022-03-30 to 2023-03-09)
    Mar 9, 2023 · RAUM change · derived
  • A••••••• A••••• C•••••• A•••••••• L•• reported RAUM $1.1B, up 46% from $737.0M (2021-03-15 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
  • A••••••• A••••• C•••••• A•••••••• L•• reported RAUM $737.0M, up 75% from $420.3M (2020-06-30 to 2021-03-15)
    Mar 15, 2021 · RAUM change · derived
  • A••••••• A••••• C•••••• A•••••••• L•• reported RAUM $411.2M, up 157% from $159.9M (2017-05-19 to 2018-03-21)
    Mar 21, 2018 · RAUM change · derived
  • A••••••• A••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 14, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026