DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••••• C•••••• P••••••• L••

Asset manager (funds and pooled vehicles)Laguna Beach, CaliforniaCRD 281843SEC 801-110858IAPD

Latest filing Apr 22, 2026

First filing on the tape Jun 20, 2017 · 23 filings

SEC status approved since Jul 21, 2017

RAUM

$1.5B

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

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM$1.5B as of Apr 22, 2026

Mar 18, 2018$329M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 22, 2026

Mar 18, 20180 then

Employees (5.A)4 as of Apr 22, 2026

Mar 18, 20181 then

Private funds2 as of Apr 22, 2026

Mar 18, 20181 then

RAUM +13% over the last fiscal year+36% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 22, 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: $514MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year: +13%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
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)
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

Pooled investment vehicles$1.5B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
B••••• P••••••••• L••	Hedge Fund	$738M	59	Mar 20, 2017
B••••• A•••• L•••	Hedge Fund	$108M	43	Apr 26, 2022

Owners and control persons

Schedule A and B, latest filing

B•••••• W••••••• J••• · Managing Membercontrol
since 09/2015 · owns 75% or more
P•••••• M••••• K•••• · Chief Compliance Officer
since 07/2020 · owns less than 5%

Related persons

Schedule D 7.A

C•••••• C•••••• P••••••• ••••••• L••••••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 1 to 2
Jul 14, 2025 to Mar 9, 2026
Employees · 3 to 4
Jul 14, 2025 to Mar 9, 2026
Discretionary RAUM · $1.4B to $1.5B
Jul 14, 2025 to Mar 9, 2026
Pooled vehicle RAUM · $1.4B to $1.5B
Jul 14, 2025 to Mar 9, 2026
RAUM · $1.4B to $1.5B
Jul 14, 2025 to Mar 9, 2026
Financial planning clients · 0 to 0
Apr 30, 2025 to Jul 14, 2025
Discretionary RAUM · $846M to $1.4B
Jul 16, 2024 to Apr 30, 2025
Pooled vehicle RAUM · $846M to $1.4B
Jul 16, 2024 to Apr 30, 2025
RAUM · $846M to $1.4B
Jul 16, 2024 to Apr 30, 2025
Pooled vehicle clients · 2 to 3
Apr 24, 2024 to Jul 16, 2024
Pooled vehicle clients · 3 to 2
Oct 19, 2023 to Mar 26, 2024
Discretionary RAUM · $612M to $846M
Oct 19, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $612M to $846M
Oct 19, 2023 to Mar 26, 2024
RAUM · $612M to $846M
Oct 19, 2023 to Mar 26, 2024
Accounts · 2 to 3
May 30, 2023 to Oct 19, 2023
Pooled vehicle clients · 2 to 3
May 30, 2023 to Oct 19, 2023
Accounts · 3 to 2
Apr 26, 2022 to Mar 27, 2023
Pooled vehicle clients · 3 to 2
Apr 26, 2022 to Mar 27, 2023
Assets in custody · 988520955.0 to unset
Apr 26, 2022 to Mar 27, 2023
Custody of client assets · true to false
Apr 26, 2022 to Mar 27, 2023
Employees · 2 to 3
Apr 26, 2022 to Mar 27, 2023
Discretionary RAUM · $989M to $612M
Apr 26, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $989M to $612M
Apr 26, 2022 to Mar 27, 2023
RAUM · $989M to $612M
Apr 26, 2022 to Mar 27, 2023
Accounts · 2 to 3
Mar 18, 2022 to Apr 26, 2022
Pooled vehicle clients · 2 to 3
Mar 18, 2022 to Apr 26, 2022
Private funds · 1 to 2
Mar 18, 2022 to Apr 26, 2022
Assets in custody · $1.3B to $989M
Mar 19, 2021 to Mar 18, 2022
Employees · 3 to 2
Mar 19, 2021 to Mar 18, 2022
Discretionary RAUM · $1.3B to $989M
Mar 19, 2021 to Mar 18, 2022
Pooled vehicle RAUM · $1.3B to $989M
Mar 19, 2021 to Mar 18, 2022
RAUM · $1.3B to $989M
Mar 19, 2021 to Mar 18, 2022
Assets in custody · $534M to $1.3B
Jul 24, 2020 to Mar 19, 2021
Employees · 2 to 3
Jul 24, 2020 to Mar 19, 2021
Discretionary RAUM · $592M to $1.3B
Jul 24, 2020 to Mar 19, 2021
Pooled vehicle RAUM · $592M to $1.3B
Jul 24, 2020 to Mar 19, 2021
RAUM · $592M to $1.3B
Jul 24, 2020 to Mar 19, 2021
Other offices · 1 to 0
Mar 21, 2019 to Feb 28, 2020
Discretionary RAUM · $534M to $592M
Mar 21, 2019 to Feb 28, 2020
Pooled vehicle RAUM · $534M to $592M
Mar 21, 2019 to Feb 28, 2020

Signals

7 dated events

C•••••• C•••••• P••••••• L•• reported RAUM $1.4B, up 61% from $845.7M (2024-07-16 to 2025-04-30)
Apr 30, 2025 · RAUM change · derived
C•••••• C•••••• P••••••• L•• reported RAUM $845.7M, up 38% from $612.2M (2023-10-19 to 2024-03-26)
Mar 26, 2024 · RAUM change · derived
C•••••• C•••••• P••••••• L•• reported RAUM $612.2M, down 38% from $988.5M (2022-04-26 to 2023-03-27)
Mar 27, 2023 · RAUM change · derived
C•••••• C•••••• P••••••• L•• reported RAUM $988.5M, down 26% from $1.3B (2021-03-19 to 2022-03-18)
Mar 18, 2022 · RAUM change · derived
C•••••• C•••••• P••••••• L•• reported RAUM $1.3B, up 125% from $592.3M (2020-07-24 to 2021-03-19)
Mar 19, 2021 · RAUM change · derived
C•••••• C•••••• P••••••• L•• reported RAUM $533.8M, up 73% from $308.8M (2019-02-11 to 2019-03-21)
Mar 21, 2019 · RAUM change · derived
C•••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)
Jun 20, 2017 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C•••••• C•••••• P••••••• L•• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: (949) 312-1180reportedpublic record, Form ADV, Apr 22, 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