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•••••••• C••••• P•••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 169959SEC 801-78984IAPD
Latest filing Oct 22, 2025
First filing on the tape Dec 17, 2013 · 28 filings
SEC status approved since Jan 2, 2014
RAUM
$81.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$16.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$81.1M as of Oct 22, 2025
Jun 30, 2014$437M then
HNW client RAUM$0 as of Oct 22, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Oct 22, 2025
Jun 30, 20141 then
Employees (5.A)2 as of Oct 22, 2025
Jun 30, 201420 then
Private funds: no history
RAUM -91% over the last fiscal year-49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 22, 2025; 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
$13.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-76%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$43.8M54%
  • Pension and profit-sharing plans$20.7M26%
  • Individuals$16.7M21%
Individual clients
n/areported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $60.4M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • C••••••••• S•••• S•••• · Owner, Chief Adminstrative Officercontrol
        since 01/2019 · owns less than 5%
      • G•••••••• H•••••• R•• · Owner, Directorcontrol
        since 12/2013 · owns less than 5%
      • H••••••••• R••••••• S•••• · Owner, M••••••control
        since 12/2013 · owns less than 5%
      • L•••••••• G•••• W•••• · Owner, Senior Partnercontrol
        since 12/2013 · owns less than 5%
      • L••••• D••••••• F•••• · Owner, Portfolio M••••••control
        since 01/2014 · owns 10% to 25%
      • Q•••• J•••• A••••• · Owner, Managing Director, Chief Technology Officercontrol
        since 10/2021 · owns less than 5%
      • R••••• T••••••• L•• · Owner, Portfolio M••••••control
        since 01/2014 · owns 5% to 10%
      • S•••••••• N••••• J••••••• · Director, Chief Risk Officercontrol
        since 02/2018 · owns less than 5%
      • S••••••••• R••••••• H••••• · Owner, Senior Partnercontrol
        since 12/2013 · owns less than 5%
      • S• H••••••• K••• M•••• · Owner, Managing Director, Operations & Tradingcontrol
        since 05/2021 · owns less than 5%
      • W•••••• R•••••• R••• · Owner, Chief Innovation Officercontrol
        since 07/2018 · owns less than 5%
      • G•••••••• H•••••• R•• · Trusteecontrol
        since 07/2011 · owns F of G••••••• T••••
      • H••••••••• J••••••••• · Co-Trusteecontrol
        since 10/2009 · owns F of R•••••• H•••••••• A•• J••••••••• H•••••••• T••• O• T•• H•••••••• F••••• T•••• D•••• 1•••••••
      • H••••••••• R••••••• S•••• · Co-Trusteecontrol
        since 10/2009 · owns F of R•••••• H•••••••• A•• J••••••••• H•••••••• T••• O• T•• H•••••••• F••••• T•••• D•••• 1•••••••
      • G••••• M•••••••• M••••••• · Owner, Chief Compliance Officer, Director
        since 10/2024 · owns less than 5%
      Entity owners
      • A•••••••• C•••••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • G••••••• T•••• · Owner/Member
        indirect · owns 25% to 50% of A•••••••• C•••••• M••••••••• L••
      • M•••••• V•••••••• L•• · Owner/Member
        indirect · owns 25% to 50% of R•• A••••••••• C••••••• L••
      • R•• A••••••••• C••••••• L•• · Owner / Member
        indirect · owns 25% to 50% of A•••••••• C•••••• M••••••••• L••
      • R•••••• H•••••••• A•• J••••••••• H•••••••• T••• O• T•• H•••••••• F••••• T•••• D•••• 1••••••• · Owner
        indirect · owns 75% or more of M•••••• V•••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list A•••••••• C••••• P•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Los Angeles, CA1 employees
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 0.0
        Mar 28, 2025 to May 9, 2025
      • Pension plan clients · 10.0 to unset
        Mar 28, 2025 to May 9, 2025
      • Financial planning clients · unset to
        Mar 28, 2025 to May 9, 2025
      • Discretionary RAUM · $225M to $81.1M
        Mar 28, 2025 to May 9, 2025
      • Individual RAUM · $71.8M to $16.7M
        Mar 28, 2025 to May 9, 2025
      • Pension RAUM · $99.7M to $20.7M
        Mar 28, 2025 to May 9, 2025
      • RAUM · $225M to $81.1M
        Mar 28, 2025 to May 9, 2025
      • Wrap assets (manager) · $102M to $60.4M
        Mar 28, 2025 to May 9, 2025
      • Accounts · 15 to 6
        Mar 28, 2025 to May 9, 2025
      • Accounts · 358 to 15
        Oct 25, 2024 to Mar 28, 2025
      • Advisory employees · 3 to 2
        Oct 25, 2024 to Mar 28, 2025
      • Charity clients · 17.0 to unset
        Oct 25, 2024 to Mar 28, 2025
      • Corporate clients · 85.0 to unset
        Oct 25, 2024 to Mar 28, 2025
      • Individual clients · 222.0 to unset
        Oct 25, 2024 to Mar 28, 2025
      • Pension plan clients · 31 to 10
        Oct 25, 2024 to Mar 28, 2025
      • Pooled vehicle clients · 1 to 0
        Oct 25, 2024 to Mar 28, 2025
      • Employees · 4 to 2
        Oct 25, 2024 to Mar 28, 2025
      • HQ city · NEWPORT BEACH to LOS ANGELES
        Oct 25, 2024 to Mar 28, 2025
      • Discretionary RAUM · $947M to $225M
        Oct 25, 2024 to Mar 28, 2025
      • Individual RAUM · $213M to $71.8M
        Oct 25, 2024 to Mar 28, 2025
      • Pension RAUM · $345M to $99.7M
        Oct 25, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $3.4M to $0
        Oct 25, 2024 to Mar 28, 2025
      • RAUM · $947M to $225M
        Oct 25, 2024 to Mar 28, 2025
      • Wrap assets (manager) · $122M to $102M
        Oct 25, 2024 to Mar 28, 2025
      • Accounts · 334 to 358
        Mar 27, 2023 to Mar 25, 2024
      • Advisory employees · 6 to 3
        Mar 27, 2023 to Mar 25, 2024
      • Advisory activities · 4 to 3
        Mar 27, 2023 to Mar 25, 2024
      • Charity clients · 14 to 17
        Mar 27, 2023 to Mar 25, 2024
      • Corporate clients · 81 to 85
        Mar 27, 2023 to Mar 25, 2024
      • Individual clients · 208 to 222
        Mar 27, 2023 to Mar 25, 2024
      • Pension plan clients · 27 to 31
        Mar 27, 2023 to Mar 25, 2024
      • Employees · 7 to 4
        Mar 27, 2023 to Mar 25, 2024
      • Other offices · 0 to 1
        Mar 27, 2023 to Mar 25, 2024
      • Discretionary RAUM · $677M to $947M
        Mar 27, 2023 to Mar 25, 2024
      • Individual RAUM · $142M to $213M
        Mar 27, 2023 to Mar 25, 2024
      • Pension RAUM · $295M to $345M
        Mar 27, 2023 to Mar 25, 2024
      • Pooled vehicle RAUM · $2.3M to $3.4M
        Mar 27, 2023 to Mar 25, 2024
      • RAUM · $677M to $947M
        Mar 27, 2023 to Mar 25, 2024
      • Wrap assets (manager) · $109M to $122M
        Mar 27, 2023 to Mar 25, 2024
      • Accounts · 213 to 334
        Mar 30, 2022 to Mar 27, 2023
      Signals
      10 dated events
      • A•••••••• C••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $81.1M)
        Jan 2, 2026 · Left the SEC roster · derived
      • A•••••••• C••••• P•••••••• L•• reported RAUM $81.1M, down 64% from $225.0M (2025-03-28 to 2025-05-09)
        May 9, 2025 · RAUM change · derived
      • A•••••••• C••••• P•••••••• L•• reported RAUM $225.0M, down 76% from $947.3M (2024-10-25 to 2025-03-28)
        Mar 28, 2025 · RAUM change · derived
      • Marie Kim St Hilaire (Owner, Managing Director, Operations & Trading) appeared on Schedule A of A•••••••• C••••• P•••••••• L••
        Mar 25, 2024 · Control person joined · fact
      • A••••• J••• Q••• (Owner, Managing Director, Chief Technology Officer) appeared on Schedule A of A•••••••• C••••• P•••••••• L••
        Mar 25, 2024 · Control person joined · fact
      • S•••• S••• C•••••••• (Owner, Chief Adminstrative Officer) appeared on Schedule A of A•••••••• C••••• P•••••••• L••
        Mar 25, 2024 · Control person joined · fact
      • A•••••••• C••••• P•••••••• L•• reported RAUM $947.3M, up 40% from $677.5M (2023-03-27 to 2024-03-25)
        Mar 25, 2024 · RAUM change · derived
      • Reid Robert Womack (Owner, Chief Innovation Officer) appeared on Schedule A of A•••••••• C••••• P•••••••• L••
        Mar 25, 2024 · Control person joined · fact
      • A•••••••• C••••• P•••••••• L•• reported RAUM $604.8M, up 31% from $460.6M (2021-03-25 to 2022-03-28)
        Mar 28, 2022 · RAUM change · derived
      • A•••••••• C••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 17, 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