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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SEC-registered adviser
A•••••••• F••••• L••
Latest filing Feb 6, 2026
First filing on the tape Nov 15, 2018 · 17 filings
SEC status approved since Dec 17, 2018
RAUM
$33.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$33.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$33.1M as of Feb 6, 2026
Jan 23, 2019$0 then
HNW client RAUM$0 as of Feb 6, 2026
Jan 8, 2020$0 then
State-registered IARs (5.B.3)0 as of Feb 6, 2026
Jan 23, 20190 then
Employees (5.A)1 as of Feb 6, 2026
Jan 23, 20191 then
Private funds: no history
RAUM -28% over the last fiscal year-6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $33.1MderivedRAUM 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
- $33.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
- 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
- Investment companies$33.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• E••• C••••••• | Rolling Hills, Ca | Jan 16, 2026 | 16 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- T••••• E••• C••••••• from C••••• B•••• A•••• M••••••••• L••Jan 16, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• T•••••• E••• · Chief Compliance Officer & Presidentcontrolsince 12/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $46.0M to $33.1MJan 17, 2025 to Jan 19, 2026
- RAUM · $46.0M to $33.1MJan 17, 2025 to Jan 19, 2026
- Financial planning clients · unset to Mar 28, 2024 to Jan 17, 2025
- Discretionary RAUM · $40.1M to $46.0MMar 28, 2024 to Jan 17, 2025
- RAUM · $40.1M to $46.0MMar 28, 2024 to Jan 17, 2025
- Discretionary RAUM · $39.9M to $40.1MFeb 3, 2023 to Mar 28, 2024
- RAUM · $39.9M to $40.1MFeb 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $45.0M to $39.9MFeb 14, 2022 to Feb 3, 2023
- RAUM · $45.0M to $39.9MFeb 14, 2022 to Feb 3, 2023
- Discretionary RAUM · $24 to $45.0MSep 13, 2021 to Feb 14, 2022
- RAUM · $24 to $45.0MSep 13, 2021 to Feb 14, 2022
- Discretionary RAUM · $17.1M to $24Dec 17, 2020 to Feb 1, 2021
- RAUM · $17.1M to $24Dec 17, 2020 to Feb 1, 2021
- HQ city · TORRANCE to ROLLING HILLSJul 27, 2020 to Dec 17, 2020
- Advisory activities · 3 to 2May 19, 2020 to Jul 27, 2020
- Accounts · 0 to 1Aug 28, 2019 to Jan 8, 2020
- Charity clients · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Corporate clients · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- HNW clients · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Individual clients · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Pension plan clients · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Pooled vehicle clients · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Discretionary RAUM · $0 to $17.1MAug 28, 2019 to Jan 8, 2020
- HNW RAUM · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Individual RAUM · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Pension RAUM · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- Pooled vehicle RAUM · unset to 0.0Aug 28, 2019 to Jan 8, 2020
- RAUM · $0 to $17.1MAug 28, 2019 to Jan 8, 2020
- Advisory activities · 2 to 3Jan 23, 2019 to Mar 8, 2019
- Insurance-licensed employees · 0 to 1Dec 17, 2018 to Jan 23, 2019
Signals
1 dated events
- A•••••••• F••••• L•• filed its initial SEC registration (Form ADV)Nov 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.
How to reach
public business contact points only, each with its source
- Website
- A••••••••FUND.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-535-8629reportedpublic record, Form ADV, Feb 6, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026