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

F••••• F••••••••• L••

Former SEC-registered adviserPalm Desert, CaliforniaCRD 283097SEC 801-107903IAPD
Latest filing Mar 27, 2018
First filing on the tape May 23, 2016 · 9 filings
RAUM
$201M
reported, Item 5.F
Discretionary
97%
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$201M as of Mar 27, 2018
May 23, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2018
May 23, 20160 then
Employees (5.A)5 as of Mar 27, 2018
May 23, 20161 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2018; every figure names its basis
RAUM per advisor
$67.0MderivedRAUM 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
$346,989derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$129MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
579reported
Financial planning clients
0reported
Wrap fee programs
$66.4M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
none on the tape
    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
    • A•••••• B••••• P••• · Membercontrol
      since 07/2016 · owns 50% to 75%
    • D••••••••• B••••• C•••••• · Member And Chief Compliance Officercontrol
      since 07/2016 · owns 10% to 25%
    • R•••••• J•••••• G•••••• · Membercontrol
      since 07/2016 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · 11359169.0 to unset
      Sep 28, 2017 to Mar 27, 2018
    • Custody of client assets · true to false
      Sep 28, 2017 to Mar 27, 2018
    • Other offices · unset to 0.0
      Sep 28, 2017 to Mar 27, 2018
    • Wrap assets (manager) · unset to 0.0
      Sep 28, 2017 to Mar 27, 2018
    • Wrap assets (sponsor) · unset to 66446106.0
      Sep 28, 2017 to Mar 27, 2018
    • Assets in custody · unset to 11359169.0
      Jul 10, 2017 to Sep 28, 2017
    • Custody of client assets · false to true
      Jul 10, 2017 to Sep 28, 2017
    • Accounts · 513 to 579
      Oct 6, 2016 to Feb 10, 2017
    • Employees · 4 to 5
      Oct 6, 2016 to Feb 10, 2017
    • Discretionary RAUM · $155M to $194M
      Oct 6, 2016 to Feb 10, 2017
    • Non-discretionary RAUM · $20.5M to $7.0M
      Oct 6, 2016 to Feb 10, 2017
    • RAUM · $175M to $201M
      Oct 6, 2016 to Feb 10, 2017
    • Accounts · 0 to 513
      Aug 11, 2016 to Sep 30, 2016
    • BD registered reps · 0 to 1
      Aug 11, 2016 to Sep 30, 2016
    • Discretionary RAUM · $0 to $155M
      Aug 11, 2016 to Sep 30, 2016
    • Non-discretionary RAUM · $0 to $20.5M
      Aug 11, 2016 to Sep 30, 2016
    • RAUM · $0 to $175M
      Aug 11, 2016 to Sep 30, 2016
    • Business name · E••• A•••••••• L•• to F••••• F••••••••• L••
      Jul 22, 2016 to Aug 11, 2016
    • Legal name · E••• A•••••••• L•• to F••••• F••••••••• L••
      Jul 22, 2016 to Aug 11, 2016
    • Advisory employees · 0 to 4
      May 23, 2016 to Jul 22, 2016
    • Advisory activities · 1 to 4
      May 23, 2016 to Jul 22, 2016
    • Employees · 1 to 4
      May 23, 2016 to Jul 22, 2016
    • Financial planning clients · unset to 0
      May 23, 2016 to Jul 22, 2016
    • HQ city · ENGLEWOOD to PALM DESERT
      May 23, 2016 to Jul 22, 2016
    • HQ state · NJ to CA
      May 23, 2016 to Jul 22, 2016
    • State-registered IARs · 0 to 3
      May 23, 2016 to Jul 22, 2016
    Signals
    1 dated events
    • E••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      May 23, 2016 · 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.
    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