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

R••• F••••••••• L••

Former SEC-registered adviserWoodland Hills, CaliforniaCRD 290771SEC 801-112379IAPD
Latest filing May 23, 2018
First filing on the tape Jan 2, 2018 · 8 filings
RAUM
$34.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
76%
$26.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$34.4M as of May 23, 2018
Apr 13, 2018$34.4M then
HNW client RAUM$11.0M as of May 23, 2018
Apr 13, 2018$11.0M then
State-registered IARs (5.B.3)2 as of May 23, 2018
Jan 2, 20182 then
Employees (5.A)2 as of May 23, 2018
Jan 2, 20182 then
Private funds: no history
Practice profile
derived from the filing of May 23, 2018; every figure names its basis
RAUM per advisor
$17.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$687,500derivedHNW RAUM over HNW clients
Average account
$351,461derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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
unknownderivedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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
  • Individuals$15.2M44%
  • High-net-worth individuals$11.0M32%
  • Pension and profit-sharing plans$8.1M24%
  • Charitable organizations$147,6840.4%
Individual clients
16reported
HNW clients
16reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
98reported
Financial planning clients
0reported
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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••••• J•••••••• R• · Managing Membercontrol
    since 02/2018 · owns 10% to 25%
  • R•••• H•••••• J••• · Chief Compliance Officer And Managing Membercontrol
    since 02/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Los Angeles, Ca001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 98.0
    Mar 6, 2018 to Apr 13, 2018
  • HNW clients · unset to 16.0
    Mar 6, 2018 to Apr 13, 2018
  • Individual clients · unset to 16.0
    Mar 6, 2018 to Apr 13, 2018
  • Pension plan clients · unset to 5.0
    Mar 6, 2018 to Apr 13, 2018
  • Discretionary RAUM · unset to 0.0
    Mar 6, 2018 to Apr 13, 2018
  • HNW RAUM · unset to 11000000.0
    Mar 6, 2018 to Apr 13, 2018
  • Individual RAUM · unset to 15168920.0
    Mar 6, 2018 to Apr 13, 2018
  • Non-discretionary RAUM · unset to 34443183.0
    Mar 6, 2018 to Apr 13, 2018
  • Pension RAUM · unset to 8126579.0
    Mar 6, 2018 to Apr 13, 2018
  • RAUM · unset to 34443183.0
    Mar 6, 2018 to Apr 13, 2018
  • Financial planning clients · unset to 0
    Jan 2, 2018 to Feb 1, 2018
Signals
2 dated events
  • J••••••• R• A••••••• left R••• F••••••••• L•• for G••••• F•••••••• A••••••• S•••••••• I••• (registered 2020-12-01)
    Apr 19, 2026 · Advisor changed firm · fact
  • R••• F••••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 2, 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