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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SEC-registered adviser

A•••• C•••••• A•••••••

Asset manager (funds and pooled vehicles)Los Angeles, CaliforniaCRD 170313SEC 801-79134websiteIAPD
Legal name A•••• C•••••• A••••••• L••
Latest filing May 14, 2026
First filing on the tape Jan 22, 2014 · 24 filings
SEC status approved since Jan 31, 2014
RAUM
$5.3B
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
26
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
26
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$5.3B as of May 14, 2026
Mar 31, 2015$407M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 14, 2026
Mar 31, 20150 then
Employees (5.A)26 as of May 14, 2026
Mar 31, 201513 then
Private funds26 as of May 14, 2026
Mar 31, 20152 then
RAUM -6.2% over the last fiscal year+16% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 14, 2026; 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
$133MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
19%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
-6.2%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 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 companiesreportedItem 5.G
Custody
$3.9B, 26 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.2B79%
  • Pension and profit-sharing plans$621M12%
  • Insurance companies$417M7.8%
  • Investment companies$55.2M1.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
40reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$3.9B for 26 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.0 fund_share=0.81 institutional_share=0.19 related_bd=false related_bank=true bd_reps=0.0derived
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
      26 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• A•Other Private Fund$1.2B99Apr 30, 2014
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• C•Other Private Fund$447M3Mar 30, 2016
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• H•Other Private Fund$295M1Mar 31, 2024
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• E•Other Private Fund$268M15Mar 29, 2020
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• D•Other Private Fund$229M1Mar 20, 2017
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• G•Other Private Fund$196M1Mar 30, 2021
      A•••• O••••••••• F•••• L••• • S••••• 2•Other Private Fund$134M1Mar 31, 2024
      A•••• C•••••• F•••• L•••• S••••• 2•Other Private Fund$105M4Mar 30, 2021
      A•••• C•••••• F•••• L•••• S••••• 1•Other Private Fund$80.7M11Mar 30, 2021
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• B•Hedge Fund$78.8M27Apr 21, 2015
      A•••• S•••• D••••••• H••• Y•••• F•••• L••• • S••••• F•Other Private Fund$73.9M1Mar 30, 2021
      A•••• C•••••• F•••• L•••• S••••• 5•Other Private Fund$52.9M4Mar 30, 2021
      A•••• V••• L••Hedge Fund$42.7M2Apr 30, 2014
      A•••• O••••••••• F•••• L••• • S••••• 3•Other Private Fund$36.0M1Mar 31, 2024
      A•••• C•••••• F•••• L•••• S••••• 3•Other Private Fund$31.8M6Mar 30, 2021
      A•••• C•••••• F•••• L•••• S••••• 6•Other Private Fund$30.1M2Mar 30, 2021
      A•••• C•••••• F•••• L•••• S••••• 4•Other Private Fund$27.5M3Mar 30, 2021
      A•••• C•••••• F•••• L••• • S••••• 9•Other Private Fund$00Mar 30, 2022
      A•••• C•••••• F••• L••• • S••••• 1•Other Private Fund$00Mar 30, 2022
      A•••• C•••••• F•••• L••••••••• 1•Other Private Fund$00Mar 30, 2022
      A•••• C•••••• F•••• L•••• S••••• 1•Other Private Fund$00Mar 30, 2022
      A•••• C•••••• F•••• L•••• S••••• 1•Other Private Fund$00Mar 30, 2022
      A•••• C•••••• F•••• L•••• S••••• 8•Other Private Fund$00Mar 30, 2021
      A•••• C•••••• F•••• L•••• S••••• 1•Other Private Fund$00Mar 30, 2022
      A•••• C•••••• F•••• L••• • S••••• 1•Other Private Fund$00Mar 30, 2022
      A•••• C•••••• F•••• L•••• S••••• 1•Other Private Fund$00Mar 30, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• D•••••• M•••••• · Member & Managing Director Tradingcontrol
        since 03/2014 · owns 25% to 50%
      • P••••••• S•••••• J••• · Member, President & Ccocontrol
        since 12/2013 · owns 10% to 25%
      • S•••• J•••••• B•• · Member & Chief Investment Officercontrol
        since 03/2014 · owns 25% to 50%
      • P•••• L•••••••• A••• · President & Stockholder
        since 04/1992 · owns 75% or more of P••• A••••••• G••••• I•••
      Entity owners
      • P••• A••••••• G••••• I••• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • A•••• M••••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 38 to 40
        Apr 7, 2025 to Mar 30, 2026
      • Pooled vehicle clients · 29 to 31
        Apr 7, 2025 to Mar 30, 2026
      • Assets in custody · $3.9B to $3.9B
        Apr 7, 2025 to Mar 30, 2026
      • Employees · 24 to 26
        Apr 7, 2025 to Mar 30, 2026
      • Other offices · 0 to 1
        Apr 7, 2025 to Mar 30, 2026
      • Discretionary RAUM · $5.7B to $5.3B
        Apr 7, 2025 to Mar 30, 2026
      • Pension RAUM · $640M to $621M
        Apr 7, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $4.4B to $4.2B
        Apr 7, 2025 to Mar 30, 2026
      • RAUM · $5.7B to $5.3B
        Apr 7, 2025 to Mar 30, 2026
      • Assets in custody · $3.3B to $3.9B
        Mar 31, 2024 to Apr 7, 2025
      • Employees · 23 to 24
        Mar 31, 2024 to Apr 7, 2025
      • Financial planning clients · 0 to 0
        Mar 31, 2024 to Apr 7, 2025
      • Discretionary RAUM · $4.9B to $5.7B
        Mar 31, 2024 to Apr 7, 2025
      • Pension RAUM · $597M to $640M
        Mar 31, 2024 to Apr 7, 2025
      • Pooled vehicle RAUM · $3.8B to $4.4B
        Mar 31, 2024 to Apr 7, 2025
      • RAUM · $4.9B to $5.7B
        Mar 31, 2024 to Apr 7, 2025
      • Accounts · 33 to 38
        Jun 13, 2023 to Mar 31, 2024
      • Pooled vehicle clients · 24 to 29
        Jun 13, 2023 to Mar 31, 2024
      • Assets in custody · $2.2B to $3.3B
        Jun 13, 2023 to Mar 31, 2024
      • Employees · 20 to 23
        Jun 13, 2023 to Mar 31, 2024
      • Private funds · 22 to 26
        Jun 13, 2023 to Mar 31, 2024
      • Discretionary RAUM · $3.4B to $4.9B
        Jun 13, 2023 to Mar 31, 2024
      • Pension RAUM · $571M to $597M
        Jun 13, 2023 to Mar 31, 2024
      • Pooled vehicle RAUM · $2.4B to $3.8B
        Jun 13, 2023 to Mar 31, 2024
      • RAUM · $3.4B to $4.9B
        Jun 13, 2023 to Mar 31, 2024
      • Advisory employees · 10 to 9
        Mar 30, 2022 to Mar 29, 2023
      • Advisory activities · 3 to 4
        Mar 30, 2022 to Mar 29, 2023
      • Pooled vehicle clients · 25 to 24
        Mar 30, 2022 to Mar 29, 2023
      • Assets in custody · $2.2B to $2.2B
        Mar 30, 2022 to Mar 29, 2023
      • Employees · 21 to 20
        Mar 30, 2022 to Mar 29, 2023
      • Private funds · 23 to 22
        Mar 30, 2022 to Mar 29, 2023
      • Discretionary RAUM · $3.5B to $3.4B
        Mar 30, 2022 to Mar 29, 2023
      • Pension RAUM · $577M to $571M
        Mar 30, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $2.4B to $2.4B
        Mar 30, 2022 to Mar 29, 2023
      • RAUM · $3.5B to $3.4B
        Mar 30, 2022 to Mar 29, 2023
      • Accounts · 24 to 33
        Mar 30, 2021 to Mar 30, 2022
      • Advisory employees · 9 to 10
        Mar 30, 2021 to Mar 30, 2022
      • Pension plan clients · 3 to 4
        Mar 30, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 17 to 25
        Mar 30, 2021 to Mar 30, 2022
      • Assets in custody · $2.2B to $2.2B
        Mar 30, 2021 to Mar 30, 2022
      Signals
      5 dated events
      • A•••• C•••••• A••••••• reported RAUM $4.9B, up 43% from $3.4B (2023-06-13 to 2024-03-31)
        Mar 31, 2024 · RAUM change · derived
      • A•••• C•••••• A••••••• reported RAUM $3.4B, up 58% from $2.1B (2020-03-29 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • A•••• C•••••• A••••••• reported RAUM $1.7B, up 55% from $1.1B (2018-03-26 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • A•••• C•••••• A••••••• reported RAUM $1.1B, up 58% from $715.1M (2017-03-20 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      • A•••• C•••••• A••••••• filed its initial SEC registration (Form ADV)
        Jan 22, 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.
      How to reach
      public business contact points only, each with its source
      Website
      A••••CA.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      310-806-6700reportedpublic record, Form ADV, May 14, 2026
      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
      Asset manager (funds and pooled vehicles)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