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••••••• R••••••• I••••••••• S••••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Dec 5, 2013 · 20 filings
RAUM
$13B
reported, Item 5.F
Discretionary
0.0%
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$13B as of Mar 28, 2024
Jan 15, 2015$8.4B then
HNW client RAUM$761M as of Mar 29, 2023
Mar 29, 2018$469M then
State-registered IARs (5.B.3)3 as of Mar 28, 2024
Mar 26, 20140 then
Employees (5.A)7 as of Mar 28, 2024
Mar 26, 20141 then
Private funds2 as of Mar 29, 2023
Mar 9, 20162 then
RAUM -13% over the last fiscal year+0.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- $4.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $92.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 92%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$12B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 139reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- D••••• A••• B•••••••• to E•••• A•••••••Jul 15, 2024 · Other
- A••• N•• S•••••• to I•••••••• A•••••••• L••Jul 15, 2024 · Other
Joined, latest
- A••• N•• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 14, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• R••••••• A•••• F•••• L••• | Other Private Fund | $353M | 149 | Sep 1, 2015 |
| A••••••• R••••••• A•••• F•••• L••• | Other Private Fund | $208M | 53 | Sep 1, 2015 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• A•••• N•• · Managing Partnercontrolsince 11/2014 · owns less than 5%
- W•••••• B••••• H•••••• · Chief Compliance Officer & General Counselcontrolsince 02/2024 · owns less than 5%
- H••• D••••• C••• · Membercontrolsince 05/2019 · owns 25% to 50% of E•••• H•••••••• L••
- B••••••••• D•••••• A••• · Managing Partnersince 11/2014 · owns less than 5%
Entity owners
- E•••• H•••••••• L•• · Managing Member; Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- E•••• G•• L••pooled vehicle sponsorn
- E•••• A•••••••investment adviserpooled vehicle sponsornRAUM $17B
Advisers that list A••••••• R••••••• I••••••••• S••••••••• L•• as a related person
- 321698 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beverly Hills, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 362 to 139Mar 29, 2023 to Mar 28, 2024
- Advisory activities · 6 to 5Mar 29, 2023 to Mar 28, 2024
- Charity clients · 15.0 to unsetMar 29, 2023 to Mar 28, 2024
- HNW clients · 131.0 to unsetMar 29, 2023 to Mar 28, 2024
- Pension plan clients · 6.0 to unsetMar 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2.0 to unsetMar 29, 2023 to Mar 28, 2024
- Assets in custody · 803910733.0 to unsetMar 29, 2023 to Mar 28, 2024
- Custody of client assets · true to falseMar 29, 2023 to Mar 28, 2024
- Insurance-licensed employees · 0 to 3Mar 29, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 0Mar 29, 2023 to Mar 28, 2024
- Private funds · 2 to unsetMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $297M to $0Mar 29, 2023 to Mar 28, 2024
- HNW RAUM · 761436549.0 to unsetMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $14B to $13BMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $11B to $12BMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · 560964358.0 to unsetMar 29, 2023 to Mar 28, 2024
- RAUM · $15B to $13BMar 29, 2023 to Mar 28, 2024
- Advisory employees · 5 to 3Mar 31, 2022 to Mar 29, 2023
- Accounts · 343 to 362Mar 31, 2022 to Mar 29, 2023
- Charity clients · 13 to 15Mar 31, 2022 to Mar 29, 2023
- HNW clients · 134 to 131Mar 31, 2022 to Mar 29, 2023
- Pension plan clients · 5 to 6Mar 31, 2022 to Mar 29, 2023
- Assets in custody · $700M to $804MMar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $329M to $297MMar 31, 2022 to Mar 29, 2023
- HNW RAUM · $1.2B to $761MMar 31, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $15B to $14BMar 31, 2022 to Mar 29, 2023
- Pension RAUM · $11B to $11BMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $64.9M to $561MMar 31, 2022 to Mar 29, 2023
- RAUM · $15B to $15BMar 31, 2022 to Mar 29, 2023
- Accounts · 149 to 343Mar 31, 2021 to Mar 31, 2022
- HNW clients · 74 to 134Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $304M to $700MMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $554M to $329MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $714M to $1.2BMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $12B to $15BMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $9.9B to $11BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $128M to $64.9MMar 31, 2021 to Mar 31, 2022
- RAUM · $13B to $15BMar 31, 2021 to Mar 31, 2022
- Accounts · 88 to 149Jun 23, 2020 to Mar 31, 2021
- Charity clients · 14 to 13Jun 23, 2020 to Mar 31, 2021
Signals
7 dated events
- D••••• A••• B•••••••• left A••••••• R••••••• I••••••••• S••••••••• L•• for E•••• A••••••• (registered 2023-07-10)Jul 15, 2024 · Advisor changed firm · fact
- A••• N•• S•••••• left A••••••• R••••••• I••••••••• S••••••••• L•• for I•••••••• A•••••••• L•• (registered 2022-06-10)Jul 15, 2024 · Advisor changed firm · fact
- Hancock Brian Waters (Chief Compliance Officer & General Counsel) appeared on Schedule A of A••••••• R••••••• I••••••••• S••••••••• L••Mar 28, 2024 · Control person joined · fact
- Arlin Daniel Kelso (Chief Compliance Officer) no longer on Schedule A of A••••••• R••••••• I••••••••• S••••••••• L•• (listed 2023-03-29, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Arlin Daniel Kelso (Chief Compliance Officer) appeared on Schedule A of A••••••• R••••••• I••••••••• S••••••••• L••Mar 31, 2021 · Control person joined · fact
- Chih David Hou (Member) appeared on Schedule A of A••••••• R••••••• I••••••••• S••••••••• L••Jun 23, 2020 · Control person joined · fact
- K••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 2013 · 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