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

P•••••• E••• A•••••••• L••

Former SEC-registered adviserCorona Del Mar, CaliforniaCRD 283628SEC 801-107861IAPD
Latest filing Mar 18, 2021
First filing on the tape May 16, 2016 · 17 filings
RAUM
$521M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
77%
$403M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$521M as of Mar 18, 2021
Jan 24, 2017$97.0M then
HNW client RAUM$402M as of Mar 18, 2021
Mar 30, 2018$168M then
State-registered IARs (5.B.3)2 as of Mar 18, 2021
Jan 24, 20172 then
Employees (5.A)3 as of Mar 18, 2021
Jan 24, 20172 then
Private funds: no history
RAUM +29% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2021; every figure names its basis
RAUM per advisor
$260MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$16.1MderivedHNW RAUM over HNW clients
Average account
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+29%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$402M77%
  • Insurance companies$117M23%
  • Individuals$894,3050.2%
  • Pension and profit-sharing plans$455,7270.1%
Individual clients
n/areported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
229reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• H••••• H••••• · Managing Partner & Chief Compliance Officercontrol
        since 06/2016 · owns 50% to 75%
      • E••••• D••••• M•••••• · Managing Partnercontrol
        since 09/2016 · owns 50% to 75%
      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
      • Accounts · 160 to 229
        Jun 29, 2020 to Mar 18, 2021
      • HNW clients · 23 to 25
        Jun 29, 2020 to Mar 18, 2021
      • Discretionary RAUM · $403M to $509M
        Jun 29, 2020 to Mar 18, 2021
      • HNW RAUM · $296M to $402M
        Jun 29, 2020 to Mar 18, 2021
      • Individual RAUM · $1.9M to $894,305
        Jun 29, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · $1.7M to $11.6M
        Jun 29, 2020 to Mar 18, 2021
      • Pension RAUM · unset to 455727.0
        Jun 29, 2020 to Mar 18, 2021
      • RAUM · $404M to $521M
        Jun 29, 2020 to Mar 18, 2021
      • Accounts · 135 to 160
        Mar 27, 2019 to Mar 27, 2020
      • HNW clients · 20 to 23
        Mar 27, 2019 to Mar 27, 2020
      • Discretionary RAUM · $342M to $403M
        Mar 27, 2019 to Mar 27, 2020
      • HNW RAUM · $246M to $296M
        Mar 27, 2019 to Mar 27, 2020
      • Individual RAUM · $1.6M to $1.9M
        Mar 27, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $2,339 to $1.7M
        Mar 27, 2019 to Mar 27, 2020
      • RAUM · $342M to $404M
        Mar 27, 2019 to Mar 27, 2020
      • Accounts · 95 to 135
        Mar 30, 2018 to Mar 27, 2019
      • HNW clients · 17 to 20
        Mar 30, 2018 to Mar 27, 2019
      • Discretionary RAUM · $252M to $342M
        Mar 30, 2018 to Mar 27, 2019
      • HNW RAUM · $168M to $246M
        Mar 30, 2018 to Mar 27, 2019
      • Individual RAUM · $1.6M to $1.6M
        Mar 30, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $0 to $2,339
        Mar 30, 2018 to Mar 27, 2019
      • RAUM · $252M to $342M
        Mar 30, 2018 to Mar 27, 2019
      • Accounts · 64 to 95
        Mar 9, 2017 to Mar 30, 2018
      • HNW clients · unset to 17.0
        Mar 9, 2017 to Mar 30, 2018
      • Employees · 2 to 3
        Mar 9, 2017 to Mar 30, 2018
      • Financial planning clients · 0 to 1-10
        Mar 9, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 9, 2017 to Mar 30, 2018
      • Discretionary RAUM · $103M to $252M
        Mar 9, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 168387692.0
        Mar 9, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 1558108.0
        Mar 9, 2017 to Mar 30, 2018
      • RAUM · $103M to $252M
        Mar 9, 2017 to Mar 30, 2018
      • Accounts · 57 to 64
        Jan 10, 2017 to Jan 24, 2017
      • Discretionary RAUM · $39.3M to $97.0M
        Jan 10, 2017 to Jan 24, 2017
      • RAUM · $39.3M to $97.0M
        Jan 10, 2017 to Jan 24, 2017
      • Discretionary RAUM · $97.0M to $103M
        Jan 24, 2017 to Jan 24, 2017
      • RAUM · $97.0M to $103M
        Jan 24, 2017 to Jan 24, 2017
      • Advisory employees · 1 to 2
        Sep 27, 2016 to Oct 18, 2016
      • HQ city · unset to CORONA DEL MAR
        Sep 27, 2016 to Oct 18, 2016
      • HQ state · unset to CA
        Sep 27, 2016 to Oct 18, 2016
      • State-registered IARs · 1 to 2
        Sep 27, 2016 to Oct 18, 2016
      Signals
      3 dated events
      • P•••••• E••• A•••••••• L•• reported RAUM $520.9M, up 29% from $404.4M (2020-06-29 to 2021-03-18)
        Mar 18, 2021 · RAUM change · derived
      • P•••••• E••• A•••••••• L•• reported RAUM $251.7M, up 145% from $102.9M (2017-03-09 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • K••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        May 16, 2016 · 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