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

A••• • S••••••• I••••••••• M••••••••• L•••

Former SEC-registered adviserManhattan Beach, CaliforniaCRD 288493SEC 801-113440IAPD
Latest filing Mar 8, 2019
First filing on the tape May 15, 2018 · 4 filings
RAUM
$230M
reported, Item 5.F
Discretionary
100%
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$230M gross assets
History
4 filings and snapshots on the tape
RAUM$230M as of Mar 8, 2019
May 15, 2018$37.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2019
May 15, 20180 then
Employees (5.A)8 as of Mar 8, 2019
May 15, 20187 then
Private funds1 as of Mar 8, 2019
May 15, 20181 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 8, 2019; 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
$57.5MderivedRAUM 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
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, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$230M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••• • S••••••• M••••• F•••• L•••Hedge Fund$230M14May 15, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• C••••• S•••••• · Founder, Chief Investment Officercontrol
        since 12/2016 · owns 75% or more
      • K•••••••• L••• · General Counsel, Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • R•••••• A••••••••• H••••••• · Director Of Operationscontrol
        since 01/2017 · owns less than 5%
      • S••••• N••••••• F••• · President, Chief Operating Officercontrol
        since 11/2017 · owns less than 5%
      • H•••••• C••••• S•••••• · Managing Membercontrol
        since 12/2016 · owns 75% or more of A••• • S••••••• H••••••• G•• L••
      Entity owners
      • A••• • S••••••• H••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••• • S••••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 9 to 8
        Aug 6, 2018 to Mar 8, 2019
      • Discretionary RAUM · $225M to $230M
        Aug 6, 2018 to Mar 8, 2019
      • Pooled vehicle RAUM · $225M to $230M
        Aug 6, 2018 to Mar 8, 2019
      • RAUM · $225M to $230M
        Aug 6, 2018 to Mar 8, 2019
      • Accounts · 3 to 4
        May 30, 2018 to Aug 6, 2018
      • Advisory employees · 4 to 5
        May 30, 2018 to Aug 6, 2018
      • Pooled vehicle clients · 3 to 4
        May 30, 2018 to Aug 6, 2018
      • Assets in custody · 0.0 to unset
        May 30, 2018 to Aug 6, 2018
      • Custody of client assets · true to false
        May 30, 2018 to Aug 6, 2018
      • Employees · 7 to 9
        May 30, 2018 to Aug 6, 2018
      • Discretionary RAUM · $37.2M to $225M
        May 30, 2018 to Aug 6, 2018
      • Pooled vehicle RAUM · $37.2M to $225M
        May 30, 2018 to Aug 6, 2018
      • RAUM · $37.2M to $225M
        May 30, 2018 to Aug 6, 2018
      • Related bank · true to false
        May 30, 2018 to Aug 6, 2018
      Signals
      1 dated events
      • A••• • S••••••• I••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        May 15, 2018 · 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