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••••••••• F••• A••••••• L••

FORMER SEC A••••••Marina Del Rey, CaliforniaCRD 169854SEC 801-80317IAPD
Latest filing Jul 17, 2024
First filing on the tape Jan 28, 2014 · 42 filings
RAUM
$147M
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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$147M as of Mar 27, 2024
Mar 31, 2015$2.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 31, 20151 then
Employees (5.A)5 as of Mar 27, 2024
Mar 31, 201511 then
Private funds: no history
RAUM +15% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$147MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$147M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• K•••••• M•••••• · Chief Compliance Officercontrol
        since 06/2024 · owns less than 5%
      • B•••••• M••••••• W•••••• · Chief Operating Officercontrol
        since 01/2024 · owns less than 5%
      • N•••••• T••••••• L••••• · Chief Executive Officercontrol
        since 10/2023 · owns less than 5%
      Entity owners
      • A••••••••• P•••••••• I••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 2 to 3
        Feb 10, 2024 to Mar 27, 2024
      • Discretionary RAUM · $128M to $147M
        Feb 10, 2024 to Mar 27, 2024
      • RAUM · $128M to $147M
        Feb 10, 2024 to Mar 27, 2024
      • Related adviser · false to true
        Feb 10, 2024 to Mar 27, 2024
      • Discretionary RAUM · $159M to $128M
        Oct 25, 2022 to Feb 14, 2023
      • RAUM · $159M to $128M
        Oct 25, 2022 to Feb 14, 2023
      • Employees · 8 to 5
        Nov 9, 2021 to Mar 7, 2022
      • Discretionary RAUM · $119M to $159M
        Nov 9, 2021 to Mar 7, 2022
      • RAUM · $119M to $159M
        Nov 9, 2021 to Mar 7, 2022
      • Accounts · 2 to 1
        Jul 8, 2020 to Feb 16, 2021
      • Advisory activities · 2 to 1
        Jul 8, 2020 to Feb 16, 2021
      • BD registered reps · 5 to 2
        Jul 8, 2020 to Feb 16, 2021
      • Discretionary RAUM · $108M to $119M
        Jul 8, 2020 to Feb 16, 2021
      • RAUM · $108M to $119M
        Jul 8, 2020 to Feb 16, 2021
      • BD registered reps · 21 to 5
        Dec 12, 2019 to Mar 30, 2020
      • Employees · 21 to 8
        Dec 12, 2019 to Mar 30, 2020
      • Discretionary RAUM · $82.9M to $108M
        Dec 12, 2019 to Mar 30, 2020
      • RAUM · $82.9M to $108M
        Dec 12, 2019 to Mar 30, 2020
      • Accounts · 37,900 to 2
        Jun 27, 2018 to Mar 29, 2019
      • Advisory activities · 4 to 2
        Jun 27, 2018 to Mar 29, 2019
      • BD registered reps · 0 to 21
        Jun 27, 2018 to Mar 29, 2019
      • Employees · 77 to 21
        Jun 27, 2018 to Mar 29, 2019
      • Discretionary RAUM · $71.2M to $82.9M
        Jun 27, 2018 to Mar 29, 2019
      • RAUM · $71.2M to $82.9M
        Jun 27, 2018 to Mar 29, 2019
      • Related adviser · true to false
        Jun 27, 2018 to Mar 29, 2019
      • Accounts · 13,000 to 37,900
        Jul 13, 2017 to Mar 27, 2018
      • Employees · 41 to 77
        Jul 13, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Jul 13, 2017 to Mar 27, 2018
      • Discretionary RAUM · $23.0M to $71.2M
        Jul 13, 2017 to Mar 27, 2018
      • RAUM · $23.0M to $71.2M
        Jul 13, 2017 to Mar 27, 2018
      • Accounts · 4,500 to 13,000
        Sep 22, 2016 to Mar 31, 2017
      • Employees · 25 to 41
        Sep 22, 2016 to Mar 31, 2017
      • Discretionary RAUM · $7.0M to $23.0M
        Sep 22, 2016 to Mar 31, 2017
      • RAUM · $7.0M to $23.0M
        Sep 22, 2016 to Mar 31, 2017
      • Accounts · 572 to 4,500
        Dec 8, 2015 to Mar 30, 2016
      • Advisory activities · 3 to 4
        Dec 8, 2015 to Mar 30, 2016
      • Employees · 11 to 25
        Dec 8, 2015 to Mar 30, 2016
      • State-registered IARs · 1 to 0
        Dec 8, 2015 to Mar 30, 2016
      • Discretionary RAUM · $2.2M to $7.0M
        Dec 8, 2015 to Mar 30, 2016
      • RAUM · $2.2M to $7.0M
        Dec 8, 2015 to Mar 30, 2016
      Signals
      16 dated events
      • Willis Meredith Geldhauser (Chief Compliance Officer) no longer on Schedule A of A••••••••• F••• A••••••• L•• (listed 2024-03-27, absent 2024-06-20)
        Jun 20, 2024 · Control person left · inference
      • M•••••• K••••• A••••••••• (Chief Compliance Officer) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Jun 20, 2024 · Control person joined · fact
      • Jean Stacey Gillespie (Chief Compliance Officer) no longer on Schedule A of A••••••••• F••• A••••••• L•• (listed 2023-10-11, absent 2024-01-05)
        Jan 5, 2024 · Control person left · inference
      • Willis Meredith Geldhauser (Chief Compliance Officer) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Jan 5, 2024 · Control person joined · fact
      • M•••••• B••••• (Chief Operating Officer) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Jan 5, 2024 · Control person joined · fact
      • L Timothy Newell (Chief Executive Officer) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Oct 11, 2023 · Control person joined · fact
      • A••• A••••••• O••••• P••••• (Chief Executive Officer) no longer on Schedule A of A••••••••• F••• A••••••• L•• (listed 2023-08-14, absent 2023-10-11)
        Oct 11, 2023 · Control person left · inference
      • Neal J••••• Sanberg (Co-Founder/Indirect Owner) no longer on Schedule A of A••••••••• F••• A••••••• L•• (listed 2023-07-28, absent 2023-08-14)
        Aug 14, 2023 · Control person left · inference
      • J••••• M•••••• S•••••••• (General Counsel) no longer on Schedule A of A••••••••• F••• A••••••• L•• (listed 2022-10-25, absent 2023-02-14)
        Feb 14, 2023 · Control person left · inference
      • A••• A••••••• O••••• P••••• (Chief Executive Officer) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Oct 25, 2022 · Control person joined · fact
      • Hugo Andrei Cherny (Chief Executive Officer) no longer on Schedule A of A••••••••• F••• A••••••• L•• (listed 2022-10-12, absent 2022-10-25)
        Oct 25, 2022 · Control person left · inference
      • Neal J••••• Sanberg (Co-Founder/Indirect Owner) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Aug 11, 2021 · Control person joined · fact
      • Neal J••••• Sanberg (Co-Founder/Indirect Owner) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Feb 16, 2021 · Control person joined · fact
      • J••••• M•••••• S•••••••• (General Counsel) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Dec 12, 2019 · Control person joined · fact
      • Jean Stacey Gillespie (Chief Compliance Officer) appeared on Schedule A of A••••••••• F••• A••••••• L••
        Aug 1, 2019 · Control person joined · fact
      • A••••••••• F••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 28, 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 A••••••deriveda 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