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

C•••••• C•••••• P•••••••• L••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 170920SEC 801-79578IAPD
Latest filing Mar 2, 2023
First filing on the tape Apr 2, 2014 · 27 filings
RAUM
$5.0B
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
97%
$4.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$5.0B as of Mar 31, 2022
Mar 3, 2016$1.1B then
HNW client RAUM$4.8B as of Mar 31, 2022
Mar 15, 2018$2.0B then
State-registered IARs (5.B.3)13 as of Mar 31, 2022
Feb 11, 20150 then
Employees (5.A)29 as of Mar 31, 2022
Feb 11, 20151 then
Private funds: no history
RAUM +40% over the last fiscal year+29% a year over threeIARs 11 to 13
Practice profile
derived from the filing of Mar 2, 2023; every figure names its basis
RAUM per advisor
$384MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$15.0MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
13.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+40%derivedbetween the last two annual amendments
Advisor growth, one year
+18%derivedItem 5.B.3 between annual amendments
Client growth, one year
+16%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$909M, 380 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.8B96%
  • Charitable organizations$87.9M1.8%
  • Individuals$51.1M1.0%
  • Insurance companies$46.4M0.9%
  • Corporations and businesses$30.6M0.6%
Individual clients
177reported
HNW clients
318reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,695reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$909M for 380 clientsreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• C••••••••• A•••• · Partnercontrol
    since 09/2015 · owns less than 5%
  • H••••••••• D•••••• L•• · Head Of Advisorycontrol
    since 09/2015 · owns less than 5%
  • N•••••••• L••••• T•••••• · Chief Compliance Officercontrol
    since 02/2023 · owns less than 5%
  • S•••••••• A••••••••• F••••• · Partnercontrol
    since 09/2015 · owns less than 5%
  • H••••••••• G••••• · Partner
    since 09/2015 · owns less than 5%
  • T•••••• J•••••••• P••• · Partner
    since 09/2015 · owns less than 5%
Entity owners
  • C• P•••••• W•••••• L•• · Owner
    direct · owns 75% or more
  • C• F•••••••• C••• · Owner
    indirect · owns 75% or more of C• U• H•••••••• I•• · public reporting company
  • C• U• H•••••••• I•• · Owner
    indirect · owns 75% or more of C••• H•••••••• L••
  • C••• H•••••••• L•• · Owner
    indirect · owns 75% or more of C• P•••••• W•••••• L••
Related persons
Schedule D 7.A
  • C••••••
    investment adviseryRAUM $165B
  • C•••••• V•••••••• L••
    pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · false to true
    May 27, 2022 to Nov 14, 2022
  • Accounts · 3,145 to 4,695
    Dec 22, 2021 to Mar 31, 2022
  • Advisory employees · 19 to 13
    Dec 22, 2021 to Mar 31, 2022
  • Corporate clients · 17 to 6
    Dec 22, 2021 to Mar 31, 2022
  • HNW clients · 315 to 318
    Dec 22, 2021 to Mar 31, 2022
  • Individual clients · 112 to 177
    Dec 22, 2021 to Mar 31, 2022
  • Assets in custody · $1.5B to $909M
    Dec 22, 2021 to Mar 31, 2022
  • Employees · 22 to 29
    Dec 22, 2021 to Mar 31, 2022
  • State-registered IARs · 11 to 13
    Dec 22, 2021 to Mar 31, 2022
  • Discretionary RAUM · $2.6B to $3.9B
    Dec 22, 2021 to Mar 31, 2022
  • HNW RAUM · $3.3B to $4.8B
    Dec 22, 2021 to Mar 31, 2022
  • Individual RAUM · $70.3M to $51.1M
    Dec 22, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $978M to $1.1B
    Dec 22, 2021 to Mar 31, 2022
  • RAUM · $3.6B to $5.0B
    Dec 22, 2021 to Mar 31, 2022
  • Accounts · 3,312 to 3,145
    Nov 13, 2020 to Mar 28, 2021
  • Advisory employees · 13 to 19
    Nov 13, 2020 to Mar 28, 2021
  • Advisory activities · 5 to 4
    Nov 13, 2020 to Mar 28, 2021
  • Corporate clients · 16 to 17
    Nov 13, 2020 to Mar 28, 2021
  • HNW clients · 281 to 315
    Nov 13, 2020 to Mar 28, 2021
  • Individual clients · 104 to 112
    Nov 13, 2020 to Mar 28, 2021
  • Assets in custody · unset to 1543193089.0
    Nov 13, 2020 to Mar 28, 2021
  • Custody of client assets · false to true
    Nov 13, 2020 to Mar 28, 2021
  • Employees · 21 to 22
    Nov 13, 2020 to Mar 28, 2021
  • Financial planning clients · 101-250 to 0
    Nov 13, 2020 to Mar 28, 2021
  • State-registered IARs · 10 to 11
    Nov 13, 2020 to Mar 28, 2021
  • Discretionary RAUM · $2.1B to $2.6B
    Nov 13, 2020 to Mar 28, 2021
  • HNW RAUM · $2.6B to $3.3B
    Nov 13, 2020 to Mar 28, 2021
  • Individual RAUM · $23.4M to $70.3M
    Nov 13, 2020 to Mar 28, 2021
  • Non-discretionary RAUM · $669M to $978M
    Nov 13, 2020 to Mar 28, 2021
  • RAUM · $2.8B to $3.6B
    Nov 13, 2020 to Mar 28, 2021
  • Accounts · 3,050 to 3,312
    Jul 8, 2019 to Feb 5, 2020
  • HNW clients · 257 to 281
    Jul 8, 2019 to Feb 5, 2020
  • Individual clients · 98 to 104
    Jul 8, 2019 to Feb 5, 2020
  • Employees · 22 to 21
    Jul 8, 2019 to Feb 5, 2020
  • Discretionary RAUM · $1.7B to $2.1B
    Jul 8, 2019 to Feb 5, 2020
  • HNW RAUM · $2.2B to $2.6B
    Jul 8, 2019 to Feb 5, 2020
  • Individual RAUM · $20.5M to $23.4M
    Jul 8, 2019 to Feb 5, 2020
  • Non-discretionary RAUM · $619M to $669M
    Jul 8, 2019 to Feb 5, 2020
  • RAUM · $2.4B to $2.8B
    Jul 8, 2019 to Feb 5, 2020
  • Accounts · 2,866 to 3,050
    Mar 19, 2019 to Jul 8, 2019
Signals
18 dated events
  • D••••• L•• H•••••••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2022-11-14)
    Mar 31, 2023 · Advisor changed firm · fact
  • G••••• H••••••••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2022-11-14)
    Mar 31, 2023 · Advisor changed firm · fact
  • C••••••••• A•••• C•••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2025-01-03)
    Mar 31, 2023 · Advisor changed firm · fact
  • R••••••• S•••• S•••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2022-11-14)
    Mar 31, 2023 · Advisor changed firm · fact
  • G•••••• J•••• W•••••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2022-11-14)
    Mar 31, 2023 · Advisor changed firm · fact
  • A••••• T••••• A•••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2023-12-13)
    Mar 31, 2023 · Advisor changed firm · fact
  • A•••••••• F••••• S••••••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2022-11-16)
    Mar 31, 2023 · Advisor changed firm · fact
  • M•••••• R•••••• P••••• left C•••••• C•••••• P•••••••• L•• for C•••••• (registered 2022-11-14)
    Mar 31, 2023 · Advisor changed firm · fact
  • C•••••• C•••••• P•••••••• L••'s advisors moved to C•••••• (Newport Beach, CA): 8 of 8 registered, on the same day
    Mar 31, 2023 · Firm absorbed (people side) · derived
  • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• P•••••••• L••
    Mar 2, 2023 · Control person joined · fact
  • James Gregory Walters (Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• P•••••••• L•• (listed 2023-03-01, absent 2023-03-02)
    Mar 2, 2023 · Control person left · inference
  • J•••• A••••• R••••• left C•••••• C•••••• P•••••••• L•• for S•••••• C•••••• L•• (registered 2024-12-16)
    Jan 17, 2023 · Advisor changed firm · fact
  • Randall Michael Phelps (Chief Financial Officer) no longer on Schedule A of C•••••• C•••••• P•••••••• L•• (listed 2022-03-31, absent 2022-05-27)
    May 27, 2022 · Control person left · inference
  • Albert James Rooney (Chief Executive Officer) no longer on Schedule A of C•••••• C•••••• P•••••••• L•• (listed 2022-03-31, absent 2022-05-27)
    May 27, 2022 · Control person left · inference
  • C•••••• C•••••• P•••••••• L•• reported RAUM $5.0B, up 40% from $3.6B (2021-12-22 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • C•••••• C•••••• P•••••••• L•• reported RAUM $3.6B, up 28% from $2.8B (2020-11-13 to 2021-03-28)
    Mar 28, 2021 · RAUM change · derived
  • Dheeraj Sultanian (General Counsel & Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• P•••••••• L•• (listed 2019-07-08, absent 2020-02-05)
    Feb 5, 2020 · Control person left · inference
  • D••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 2, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
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