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••••• W••••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 291155SEC 801-112159websiteIAPD
Latest filing Apr 15, 2024
First filing on the tape Nov 13, 2017 · 23 filings
SEC status approved since Dec 14, 2017
RAUM
$996M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$909M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$23.4M gross assets
History
23 filings and snapshots on the tape
RAUM$996M as of Mar 26, 2024
Mar 23, 2018$762M then
HNW client RAUM$896M as of Mar 26, 2024
Mar 23, 2018$741M then
State-registered IARs (5.B.3)12 as of Mar 26, 2024
Mar 23, 20185 then
Employees (5.A)12 as of Mar 26, 2024
Mar 23, 20189 then
Private funds1 as of Mar 26, 2024
Mar 30, 20201 then
RAUM +17% over the last fiscal year+3.6% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Apr 15, 2024; every figure names its basis
RAUM per advisor
$83.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.0MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.5%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Wrap fee program
$974MreportedItem 5.I
Custody
$226M, 104 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$896M90%
  • Corporations and businesses$61.0M6.1%
  • Pooled investment vehicles$23.4M2.4%
  • Individuals$13.1M1.3%
  • Pension and profit-sharing plans$1.9M0.2%
  • Charitable organizations$882,8480.1%
Individual clients
52reported
HNW clients
178reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
714reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$226M for 104 clientsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
A••••• C•••••• P•••••• E••••• A••••• 2•••• L•Private Equity Fund$23.4M55Sep 6, 2019
Owners and control persons
Schedule A and B, latest filing
  • D•••••• N••••••••• S••••• · Chief Compliance Officercontrol
    since 09/2022 · owns less than 5%
  • G••••• C••••••••• A••• · Trusteecontrol
    since 11/2017 · owns less than 5%
  • S•••• G•••• R••••• · Trusteecontrol
    since 11/2017 · owns less than 5%
  • T••••••• E•••• H• · Trusteecontrol
    since 11/2017 · owns less than 5%
  • G••••• C••••••••• A••• · Trusteecontrol
    since 03/2005 · owns F of T•• G•••• F••••• T••••
  • G••••• D•••••• C••••• · Trusteecontrol
    since 03/2005 · owns F of T•• G•••• F••••• T••••
  • J••••• R•••• A••• · Trusteecontrol
    since 10/1998 · owns F of J•••• T•••••• T••••
  • S•••• G•••• R••••• · Trusteecontrol
    since 04/1993 · owns F of T•• S••• 1••• T••••
  • S•••• H•••••• N•• · Trusteecontrol
    since 04/1993 · owns F of T•• S••• 1••• T••••
  • T••••••• E•••• H• · Trusteecontrol
    since 10/1998 · owns F of J•••• T•••••• T••••
  • G••••• D•••••• C••••• · Trustee
    since 11/2017 · owns less than 5%
  • J••••• R•••• A••• · Trustee
    since 11/2017 · owns less than 5%
  • S•••• H•••••• N•• · Trustee
    since 11/2017 · owns less than 5%
Entity owners
  • J•••• T•••••• T•••• · Member
    direct · owns 25% to 50%
  • T•• E•••• F••••• T•••• · Member
    direct · owns 25% to 50%
  • T•• G•••• F••••• T•••• · Member
    direct · owns 25% to 50%
  • T•• S••• 1••• T•••• · Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Los Angeles, Ca · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 675 to 714
    Sep 26, 2023 to Mar 26, 2024
  • HNW clients · 171 to 178
    Sep 26, 2023 to Mar 26, 2024
  • Individual clients · 49 to 52
    Sep 26, 2023 to Mar 26, 2024
  • Assets in custody · $204M to $226M
    Sep 26, 2023 to Mar 26, 2024
  • Discretionary RAUM · $854M to $996M
    Sep 26, 2023 to Mar 26, 2024
  • HNW RAUM · $764M to $896M
    Sep 26, 2023 to Mar 26, 2024
  • Individual RAUM · $9.7M to $13.1M
    Sep 26, 2023 to Mar 26, 2024
  • Pension RAUM · $1.2M to $1.9M
    Sep 26, 2023 to Mar 26, 2024
  • Pooled vehicle RAUM · $26.3M to $23.4M
    Sep 26, 2023 to Mar 26, 2024
  • RAUM · $854M to $996M
    Sep 26, 2023 to Mar 26, 2024
  • Accounts · 646 to 675
    Nov 28, 2022 to Mar 24, 2023
  • Advisory employees · 13 to 12
    Nov 28, 2022 to Mar 24, 2023
  • Corporate clients · 6 to 7
    Nov 28, 2022 to Mar 24, 2023
  • HNW clients · 161 to 171
    Nov 28, 2022 to Mar 24, 2023
  • Individual clients · 46 to 49
    Nov 28, 2022 to Mar 24, 2023
  • Assets in custody · $225M to $204M
    Nov 28, 2022 to Mar 24, 2023
  • Employees · 14 to 12
    Nov 28, 2022 to Mar 24, 2023
  • State-registered IARs · 13 to 12
    Nov 28, 2022 to Mar 24, 2023
  • Discretionary RAUM · $1.0B to $854M
    Nov 28, 2022 to Mar 24, 2023
  • HNW RAUM · $932M to $764M
    Nov 28, 2022 to Mar 24, 2023
  • Individual RAUM · $14.9M to $9.7M
    Nov 28, 2022 to Mar 24, 2023
  • Pension RAUM · $1.3M to $1.2M
    Nov 28, 2022 to Mar 24, 2023
  • Pooled vehicle RAUM · $35.9M to $26.3M
    Nov 28, 2022 to Mar 24, 2023
  • RAUM · $1.0B to $854M
    Nov 28, 2022 to Mar 24, 2023
  • Advisory employees · 12 to 13
    Mar 31, 2022 to Sep 26, 2022
  • Employees · 13 to 14
    Mar 31, 2022 to Sep 26, 2022
  • State-registered IARs · 12 to 13
    Mar 31, 2022 to Sep 26, 2022
  • Accounts · 597 to 646
    Apr 28, 2021 to Mar 31, 2022
  • Advisory employees · 11 to 12
    Apr 28, 2021 to Mar 31, 2022
  • Corporate clients · unset to 6.0
    Apr 28, 2021 to Mar 31, 2022
  • HNW clients · 150 to 161
    Apr 28, 2021 to Mar 31, 2022
  • Individual clients · 40 to 46
    Apr 28, 2021 to Mar 31, 2022
  • Assets in custody · $219M to $225M
    Apr 28, 2021 to Mar 31, 2022
  • State-registered IARs · 11 to 12
    Apr 28, 2021 to Mar 31, 2022
  • Discretionary RAUM · $897M to $1.0B
    Apr 28, 2021 to Mar 31, 2022
  • HNW RAUM · $818M to $932M
    Apr 28, 2021 to Mar 31, 2022
  • Individual RAUM · $11.4M to $14.9M
    Apr 28, 2021 to Mar 31, 2022
  • Pension RAUM · $945,559 to $1.3M
    Apr 28, 2021 to Mar 31, 2022
  • Pooled vehicle RAUM · $31.3M to $35.9M
    Apr 28, 2021 to Mar 31, 2022
  • RAUM · $897M to $1.0B
    Apr 28, 2021 to Mar 31, 2022
Signals
18 dated events
  • A••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $996.3M)
    May 2, 2025 · Left the SEC roster · derived
  • K•••••• N•••••• H••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-21)
    Jan 23, 2025 · Advisor changed firm · fact
  • P•••• S• L•• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-21)
    Jan 23, 2025 · Advisor changed firm · fact
  • R•••••• A•• R••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-19)
    Jan 23, 2025 · Advisor changed firm · fact
  • A••• J•••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-22)
    Jan 23, 2025 · Advisor changed firm · fact
  • T••••• F•••• R••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-22)
    Jan 23, 2025 · Advisor changed firm · fact
  • N•••••••• S••••• D••••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-21)
    Jan 23, 2025 · Advisor changed firm · fact
  • E••••• H•••• L•• left A••••• W••••• M••••••••• L•• for L••• (registered 2026-01-05)
    Jan 23, 2025 · Advisor changed firm · fact
  • G•••• K••• B••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-21)
    Jan 23, 2025 · Advisor changed firm · fact
  • J•••• S•••• D•••••••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-17)
    Jan 23, 2025 · Advisor changed firm · fact
  • G••• R••••• S••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-18)
    Jan 23, 2025 · Advisor changed firm · fact
  • E••• H• T•••••• left A••••• W••••• M••••••••• L•• for L••• (registered 2025-01-22)
    Jan 23, 2025 · Advisor changed firm · fact
  • A••••• W••••• M••••••••• L••'s advisors moved to L••• (Los Angeles, CA): 11 of 11 registered, on the same day
    Jan 23, 2025 · Firm absorbed (people side) · derived
  • Douglas Russell Evans (Trustee) no longer on Schedule A of A••••• W••••• M••••••••• L•• (listed 2023-09-26, absent 2024-03-26)
    Mar 26, 2024 · Control person left · inference
  • Mary Elizabeth Evans (Trustee) no longer on Schedule A of A••••• W••••• M••••••••• L•• (listed 2023-09-26, absent 2024-03-26)
    Mar 26, 2024 · Control person left · inference
  • Steven Nathaniel Downes (Chief Compliance Officer) appeared on Schedule A of A••••• W••••• M••••••••• L••
    Sep 26, 2022 · Control person joined · fact
  • A•••••••• J•••• R•••• left A••••• W••••• M••••••••• L•• for A•••••• F•••••••• (registered 2022-02-09)
    Jan 27, 2022 · Advisor changed firm · fact
  • D••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Nov 13, 2017 · 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