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
D••••••••• A••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2015 · 18 filings
SEC status approved since Apr 23, 2015
RAUM
$3.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$20.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
171
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.5B as of Mar 31, 2026
Mar 28, 2016$28.4M then
HNW client RAUM$20.8M as of Mar 31, 2026
Mar 30, 2020$20.9M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20160 then
Employees (5.A)171 as of Mar 31, 2026
Mar 28, 201686 then
Private funds1 as of Mar 31, 2025
Mar 31, 20221 then
RAUM -18% over the last fiscal year-9.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $20.8MderivedHNW RAUM over HNW clients
- Average account
- $496MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -18%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 vehicles, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.3B95%
- Pooled investment vehicles$151M4.3%
- High-net-worth individuals$20.8M0.6%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=22.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• S•••••• E••••••• C•••• P•••••••• A• S••••• O• D••••••••• I••••••••• F•••• L•• | Other Private Fund | $131M | 1 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••••• J••• · Presidentcontrolsince 04/2015 · owns less than 5%
- C••••• H••••• V••• · Membercontrolsince 03/2015 · owns 25% to 50% of R•• G•••• L••
- G•••••••• J••••••• E••••• · Limited Partnercontrolsince 12/2009 · owns 25% to 50% of D••••••••• G• H••••••• L•
- G•••••••• J••••••• E••••• · Limited Partnercontrolsince 03/2015 · owns 25% to 50% of R•• C•••• L•
- G•••••••• J••••••• E••••• · Limited Partnercontrolsince 12/2009 · owns 25% to 50% of D••••••••• C•••••• L•
- L••••••• E•••• A•••• · Membercontrolsince 03/2015 · owns 25% to 50% of R•• G•••• L••
- R•••••• R•••••• R••••• · Membercontrolsince 03/2015 · owns 25% to 50% of R•• G•••• L••
- S••••••• J••••••• J••• · Limited Partnercontrolsince 03/2015 · owns 25% to 50% of L••• L•
- R•••••••• A•••• D••••• · Chief Compliance Officersince 06/2015 · owns less than 5%
Entity owners
- R•• G•••• L•• · General Partnerdirect · owns less than 5%
- R•• C•••• L• · Limited Partnerdirect · owns 75% or more
- D••••••••• C•••••• G• L•• · General Partnerindirect · owns F of D••••••••• G• H••••••• L•
- D••••••••• C•••••• G• L•• · General Partnerindirect · owns F of D••••••••• C•••••• L•
- L••• L• · Limited Partnerindirect · owns 25% to 50% of R•• C•••• L•
- R•• G•••• L•• · General Partnerindirect · owns F of L••• L•
- R•• G•••• L•• · General Partnerindirect · owns F of R•• C•••• L•
- D••••••••• C•••••• L• · Limited Partnerdirect · owns 5% to 10%
- D••••••••• G• H••••••• L• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA8 employees
- Glendale, CA
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-31, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 10 to 7Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 6 to 9Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 19 to 22Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 3Mar 31, 2025 to Mar 31, 2026
- Employees · 164 to 171Mar 31, 2025 to Mar 31, 2026
- Private funds · 1 to unsetMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.2B to $3.5BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $19.7M to $20.8MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $259M to $151MMar 31, 2025 to Mar 31, 2026
- RAUM · $4.2B to $3.5BMar 31, 2025 to Mar 31, 2026
- Accounts · 8 to 10Nov 6, 2024 to Mar 31, 2025
- Advisory employees · 8 to 6Nov 6, 2024 to Mar 31, 2025
- BD registered reps · 20 to 19Nov 6, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 5Nov 6, 2024 to Mar 31, 2025
- Employees · 175 to 164Nov 6, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Nov 6, 2024 to Mar 31, 2025
- Other offices · 2 to 1Nov 6, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.7B to $4.2BNov 6, 2024 to Mar 31, 2025
- HNW RAUM · $19.6M to $19.7MNov 6, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $343M to $259MNov 6, 2024 to Mar 31, 2025
- RAUM · $4.7B to $4.2BNov 6, 2024 to Mar 31, 2025
- Accounts · 9 to 8Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 9 to 8Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 23 to 20Mar 31, 2023 to Mar 29, 2024
- Employees · 181 to 175Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.7B to $4.7BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $20.3M to $19.6MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $385M to $343MMar 31, 2023 to Mar 29, 2024
- RAUM · $4.7B to $4.7BMar 31, 2023 to Mar 29, 2024
- Accounts · 8 to 9Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 21 to 23Mar 31, 2022 to Mar 31, 2023
- Employees · 174 to 181Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $908M to $4.7BMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $26.2M to $20.3MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $691M to $385MMar 31, 2022 to Mar 31, 2023
- RAUM · $908M to $4.7BMar 31, 2022 to Mar 31, 2023
- Accounts · 5 to 8Jan 25, 2022 to Mar 31, 2022
- BD registered reps · 20 to 21Jan 25, 2022 to Mar 31, 2022
- Pooled vehicle clients · 2 to 4Jan 25, 2022 to Mar 31, 2022
- Employees · 170 to 174Jan 25, 2022 to Mar 31, 2022
Signals
5 dated events
- D••••••••• A••••••••• L• reported RAUM $4.7B, up 416% from $907.8M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- D••••••••• A••••••••• L• reported RAUM $907.8M, up 48% from $613.9M (2022-01-25 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- D••••••••• A••••••••• L• reported RAUM $613.9M, down 25% from $821.1M (2020-06-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- D••••••••• A••••••••• L• reported RAUM $700.5M, up 620% from $97.3M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- D••••••••• C•••••••• L• filed its initial SEC registration (Form ADV)Mar 30, 2015 · 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
- D•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 813-791-7333reportedpublic record, Form ADV, Mar 31, 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