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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
R••••••• R••••••
Legal name T•• I••••••• C••••••• L••
Latest filing Nov 15, 2018
First filing on the tape Jun 12, 2018 · 10 filings
RAUM
$24.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
95%
$22.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$12.0M
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
10 filings and snapshots on the tape
RAUM$24.0M as of Nov 15, 2018
Jun 12, 2018$0 then
HNW client RAUM$16.5M as of Nov 15, 2018
Sep 26, 2018$16.5M then
State-registered IARs (5.B.3)2 as of Nov 15, 2018
Jun 12, 20182 then
Employees (5.A)2 as of Nov 15, 2018
Jun 12, 20182 then
Private funds: no history
Practice profile
derived from the filing of Nov 15, 2018; every figure names its basis
- RAUM per advisor
- $12.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $260,870derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 5.0%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, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $23.0MreportedItem 5.I
- Custody
- $24.0M, 92 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$16.5M69%
- Individuals$6.3M26%
- Pension and profit-sharing plans$1.2M5.0%
- Individual clients
- 32reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 92reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $24.0M for 92 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• D••••• R•••••••Certified Financial Planner | El Segundo, Ca | Jul 16, 2018 | 26 y | 1 |
| J•••• F•••••• R•••••• | El Segundo, Ca | Jul 16, 2018 | 24 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••••••••• D••••• R••••••• from A••••••••• F•••••••• S•••••••• L••Jul 16, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• F•••••• R•••••• from A••••••••• F•••••••• S•••••••• L••Jul 16, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••••• F•••••••• S•••••••• L••Jul 13, 2018 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J••••• F•••••• · Managing Membercontrolsince 06/2018 · owns 50% to 75%
- R•••••••• C••••••••• D••••• · Managing Member & Chief Compliance Officercontrolsince 06/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Segundo, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · unset to 24000000.0Sep 26, 2018 to Oct 24, 2018
- Custody of client assets · false to trueSep 26, 2018 to Oct 24, 2018
- Accounts · 0 to 92Aug 1, 2018 to Sep 26, 2018
- HNW clients · unset to 11.0Aug 1, 2018 to Sep 26, 2018
- Individual clients · unset to 32.0Aug 1, 2018 to Sep 26, 2018
- HNW RAUM · unset to 16500000.0Aug 1, 2018 to Sep 26, 2018
- Individual RAUM · unset to 6300000.0Aug 1, 2018 to Sep 26, 2018
- Non-discretionary RAUM · $0 to $24.0MAug 1, 2018 to Sep 26, 2018
- Pension RAUM · unset to 1200000.0Aug 1, 2018 to Sep 26, 2018
- RAUM · $0 to $24.0MAug 1, 2018 to Sep 26, 2018
- Business name · T•• I••••••• C••••••• L•• to R••••••• R••••••Jul 16, 2018 to Jul 25, 2018
- Business name · R••••••• • R••••••• L•• to T•• I••••••• C••••••• L••Jun 28, 2018 to Jul 13, 2018
- Legal name · R••••••• • R••••••• L•• to T•• I••••••• C••••••• L••Jun 28, 2018 to Jul 13, 2018
Signals
1 dated events
- R••••••• • R••••••• L•• filed its initial SEC registration (Form ADV)Jun 12, 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.
How to reach
public business contact points only, each with its source
- Website
- R•••••••R••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
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
- $12.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026