DFX Intelligence

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B•••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private fundsUmbrella registration· Redondo Beach, Californiawebsite

Asset manager (funds and pooled vehicles), based in Redondo Beach, California, reporting $1.0B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.0B
Advisors: 0
RAUM change, 1 year: +3.9%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+3.9%
RAUM, one year
RAUM $996M to $1.03B (+3.9%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 269959 · SEC 801-110252 · 15 filingsShow

CRD 269959SEC 801-110252First filing on the tape Mar 22, 2017, latest Mar 31, 2026SEC status approved since Apr 10, 2017IAPD

RAUM

$1.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Mar 22, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$1.0B as of Mar 31, 2026

Mar 31, 2017$125M then

HNW client RAUM$35.9M as of Mar 25, 2020

Mar 29, 2018$48.5M then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 31, 20172 then

Employees (5.A)6 as of Mar 31, 2026

Mar 31, 20172 then

Private funds2 as of Mar 31, 2026

Mar 31, 20172 then

RAUM +3.9% over the last fiscal year+14% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $129MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +3.9%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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $855M, 4 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$1.0B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 8reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $855M for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
B•••• C•••••• P••••••• I• L•	Hedge Fund	$794M	233	Mar 29, 2018
B•••• C•••••• P••••••• L•	Hedge Fund	$61.5M	53	Mar 22, 2017
B•••• M••••• A•••••••• F••• L•no longer reported	Hedge Fund	$250,836	2	Mar 22, 2017

Owners and control persons

Schedule A and B, latest filing

N•••••• A•••••• P••• · Chief Operating Officer And Chief Compliance Officercontrol
since 11/2016 · owns less than 5%
W•••••• D••••• A•••••••• · Member, Manager, Ceo And Ciocontrol
since 12/2013 · owns 75% or more

Related persons

Schedule D 7.A

B•••• C•••••• M••••••••• L•
bankpooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 7 to 8
Mar 31, 2025 to Mar 31, 2026
Pooled vehicle clients · 7 to 8
Mar 31, 2025 to Mar 31, 2026
Assets in custody · $883M to $855M
Mar 31, 2025 to Mar 31, 2026
Employees · 5 to 6
Mar 31, 2025 to Mar 31, 2026
Financial planning clients · 0 to
Mar 31, 2025 to Mar 31, 2026

Full history · 74 changes

Discretionary RAUM · $996M to $1.0B
Mar 31, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $996M to $1.0B
Mar 31, 2025 to Mar 31, 2026
RAUM · $996M to $1.0B
Mar 31, 2025 to Mar 31, 2026
Accounts · 4 to 7
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle clients · 4 to 7
Mar 28, 2024 to Mar 31, 2025
Assets in custody · $538M to $883M
Mar 28, 2024 to Mar 31, 2025
Employees · 4 to 5
Mar 28, 2024 to Mar 31, 2025
Financial planning clients · 0 to 0
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $577M to $996M
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $577M to $996M
Mar 28, 2024 to Mar 31, 2025
RAUM · $577M to $996M
Mar 28, 2024 to Mar 31, 2025
Advisory employees · 3 to 2
Mar 29, 2023 to Mar 28, 2024
Assets in custody · $650M to $538M
Mar 29, 2023 to Mar 28, 2024
Discretionary RAUM · $695M to $577M
Mar 29, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $695M to $577M
Mar 29, 2023 to Mar 28, 2024
RAUM · $695M to $577M
Mar 29, 2023 to Mar 28, 2024
Assets in custody · $1.9B to $650M
Mar 30, 2022 to Mar 29, 2023
Discretionary RAUM · $1.9B to $695M
Mar 30, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $1.9B to $695M
Mar 30, 2022 to Mar 29, 2023
RAUM · $1.9B to $695M
Mar 30, 2022 to Mar 29, 2023
Accounts · 3 to 4
Jan 28, 2022 to Mar 30, 2022
Pooled vehicle clients · 3 to 4
Jan 28, 2022 to Mar 30, 2022
Assets in custody · $581M to $1.9B
Jan 28, 2022 to Mar 30, 2022
Discretionary RAUM · $639M to $1.9B
Jan 28, 2022 to Mar 30, 2022
Pooled vehicle RAUM · $639M to $1.9B
Jan 28, 2022 to Mar 30, 2022
RAUM · $639M to $1.9B
Jan 28, 2022 to Mar 30, 2022
Accounts · 8 to 3
Oct 21, 2020 to Mar 29, 2021
Advisory employees · 2 to 3
Oct 21, 2020 to Mar 29, 2021
Advisory activities · 2 to 1
Oct 21, 2020 to Mar 29, 2021
HNW clients · 4.0 to unset
Oct 21, 2020 to Mar 29, 2021
Pooled vehicle clients · 4 to 3
Oct 21, 2020 to Mar 29, 2021
Assets in custody · $0 to $581M
Oct 21, 2020 to Mar 29, 2021
Custody of client assets · false to true
Oct 21, 2020 to Mar 29, 2021
Employees · 3 to 4
Oct 21, 2020 to Mar 29, 2021
Discretionary RAUM · $420M to $639M
Oct 21, 2020 to Mar 29, 2021
HNW RAUM · 35941969.0 to unset
Oct 21, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $384M to $639M
Oct 21, 2020 to Mar 29, 2021
RAUM · $420M to $639M
Oct 21, 2020 to Mar 29, 2021
Accounts · 13 to 8
Mar 29, 2019 to Mar 25, 2020
Advisory employees · 1 to 2
Mar 29, 2019 to Mar 25, 2020
HNW clients · 8 to 4
Mar 29, 2019 to Mar 25, 2020
Pension plan clients · 1.0 to unset
Mar 29, 2019 to Mar 25, 2020
Discretionary RAUM · $607M to $420M
Mar 29, 2019 to Mar 25, 2020
HNW RAUM · $67.2M to $35.9M
Mar 29, 2019 to Mar 25, 2020
Pension RAUM · 174786657.0 to unset
Mar 29, 2019 to Mar 25, 2020
Pooled vehicle RAUM · $365M to $384M
Mar 29, 2019 to Mar 25, 2020
RAUM · $607M to $420M
Mar 29, 2019 to Mar 25, 2020
Accounts · 21 to 13
Mar 29, 2018 to Mar 29, 2019
HNW clients · 14 to 8
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle clients · 5 to 4
Mar 29, 2018 to Mar 29, 2019
State-registered IARs · 2 to 0
Mar 29, 2018 to Mar 29, 2019
Discretionary RAUM · $362M to $607M
Mar 29, 2018 to Mar 29, 2019
HNW RAUM · $48.5M to $67.2M
Mar 29, 2018 to Mar 29, 2019
Pension RAUM · $60.6M to $175M
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $253M to $365M
Mar 29, 2018 to Mar 29, 2019
RAUM · $362M to $607M
Mar 29, 2018 to Mar 29, 2019
Accounts · 67 to 21
May 24, 2017 to Mar 29, 2018
HNW clients · unset to 14.0
May 24, 2017 to Mar 29, 2018
Pension plan clients · unset to 1.0
May 24, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 5.0
May 24, 2017 to Mar 29, 2018
Employees · 2 to 3
May 24, 2017 to Mar 29, 2018
Other offices · unset to 0.0
May 24, 2017 to Mar 29, 2018
Discretionary RAUM · $125M to $362M
May 24, 2017 to Mar 29, 2018
HNW RAUM · unset to 48459079.0
May 24, 2017 to Mar 29, 2018
Pension RAUM · unset to 60576535.0
May 24, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 253168644.0
May 24, 2017 to Mar 29, 2018
RAUM · $125M to $362M
May 24, 2017 to Mar 29, 2018
Discretionary RAUM · $125M to $125M
Mar 22, 2017 to Mar 31, 2017
RAUM · $125M to $125M
Mar 22, 2017 to Mar 31, 2017

Signals

9 dated events

••• Locked
Mar 31, 2026 · private fund gav change · fact
••• Locked
Mar 31, 2025 · RAUM change · derived
••• Locked
Mar 29, 2023 · RAUM change · derived
••• Locked
Mar 30, 2022 · RAUM change · derived
••• Locked
Mar 29, 2021 · RAUM change · derived

Full timeline · 9 events

••• Locked
Mar 25, 2020 · RAUM change · derived
••• Locked
Mar 29, 2019 · RAUM change · derived
••• Locked
Mar 29, 2018 · RAUM change · derived
••• Locked
Mar 22, 2017 · 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: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.