DFX Intelligence

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C•••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Los Angeles, California

Former SEC-registered adviser, based in Los Angeles, California.

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

As of 2020-07-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2020-07-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 285965 · SEC 801-108994 · 5 filingsShow

CRD 285965SEC 801-108994First filing on the tape Jan 16, 2017, latest Jul 7, 2020IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$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

5 filings and snapshots on the tape

Filed figures over time · the tape starts Jan 16, 2017

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

RAUM$0 as of Jul 7, 2020

Apr 2, 2018$0 then

HNW client RAUM$0 as of Jul 7, 2020

Apr 2, 2018$0 then

State-registered IARs (5.B.3)2 as of Jul 7, 2020

Apr 2, 20181 then

Employees (5.A)4 as of Jul 7, 2020

Apr 2, 20184 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Jul 7, 2020; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $0derivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• E••••• M•••• · Chief Compliance Officer And Chief Executive Officercontrol
since 12/2014 · owns 50% to 75%
Y••• G••••••• L•• · Co-Foundercontrol
since 12/2014 · owns 25% to 50%

Related persons

Schedule D 7.A

M••••••• C•••••• M••••••••• L••
investment advisernRAUM $22.2M

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 1 to 2
Apr 2, 2018 to Apr 1, 2019
State-registered IARs · 1 to 2
Apr 2, 2018 to Apr 1, 2019
Charity clients · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
Corporate clients · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
HNW clients · unset to 0.0
Jan 26, 2017 to Apr 2, 2018

Full history · 13 changes

Individual clients · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
Pension plan clients · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
Pooled vehicle clients · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
Other offices · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
HNW RAUM · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
Individual RAUM · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
Pension RAUM · unset to 0.0
Jan 26, 2017 to Apr 2, 2018
Pooled vehicle RAUM · unset to 0.0
Jan 26, 2017 to Apr 2, 2018

Signals

1 dated events

••• Locked
Jan 16, 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.

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: Former SEC-registered adviserderiveda 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: private clients.