DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R••••••• I••••••••• R•••••••

Asset manager (funds and pooled vehicles)Walnut, CaliforniaCRD 306119SEC 801-118201website IAPD

Latest filing Jul 30, 2026

First filing on the tape Feb 10, 2020 · 17 filings

SEC status approved since Apr 1, 2020

RAUM

$203M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$203M as of Jul 30, 2026

Mar 22, 2021$223M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Jul 30, 2026

Mar 22, 20210 then

Employees (5.A)21 as of Jul 30, 2026

Mar 22, 202116 then

Private funds: no history

RAUM +21% over the last fiscal year+6.3% a year over threeIARs 0 to 1offices 4 to 3

Practice profile

derived from the filing of Jul 30, 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: $203MderivedRAUM 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: $50.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 21.0derivedItem 5.A over advisors
Advisors per office: 0.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +21%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 investment companies, otherreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$203M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
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

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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• M••••••• J• · Directorcontrol
since 05/2020 · owns less than 5%
H••• J•••• · Chief Investment Officercontrol
since 05/2020 · owns less than 5%
H••• J•••• · Ownercontrol
since 01/2020 · owns 50% to 75% of V•••••• L•••••••• V••• L••
B••••••• K•••• · Chief Compliance Officer
since 01/2024 · owns less than 5%

Entity owners

R••••••• G••••• A••••••• L•• · Owner
direct · owns 75% or more
E••• W••• B•••••• I•• · Owner
indirect · owns 25% to 50% of R••••••• G••••• A••••••• L•• · public reporting company
V•••••• L•••••••• V••• L•• · Owner
indirect · owns 25% to 50% of R••••••• G••••• A••••••• L••

Related persons

Schedule D 7.A

H•••••••• R••• L••••••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count dropChange between filings · filing Mar 31, 2026
employees (Item 5.A) moved from 34.0 to 21.0 (-38.0%) between the annual amendments of 2025-04-29 and 2026-03-31; the peer median change was 0.0% (392 comparable advisers, 5.0th percentile of changes)
peers: asset managers, $100M to $500M (392) · 5.1% percentile

How anomalies are measured

What changed

consecutive filings, newest first

HQ city · NEWPORT BEACH to WALNUT
Mar 31, 2026 to Jul 30, 2026
Advisory employees · 11 to 8
Apr 29, 2025 to Mar 31, 2026
Advisory activities · 3 to 2
Apr 29, 2025 to Mar 31, 2026
Employees · 34 to 21
Apr 29, 2025 to Mar 31, 2026
Insurance-licensed employees · 0 to 1
Apr 29, 2025 to Mar 31, 2026
State-registered IARs · 0 to 1
Apr 29, 2025 to Mar 31, 2026
Other offices · 4 to 3
Apr 29, 2025 to Mar 31, 2026
Discretionary RAUM · $168M to $203M
Apr 29, 2025 to Mar 31, 2026
RAUM · $168M to $203M
Apr 29, 2025 to Mar 31, 2026
Accounts · 3 to 4
Feb 16, 2024 to Apr 29, 2025
Advisory employees · 16 to 11
Feb 16, 2024 to Apr 29, 2025
Advisory activities · 1 to 3
Feb 16, 2024 to Apr 29, 2025
Employees · 21 to 34
Feb 16, 2024 to Apr 29, 2025
Financial planning clients · 0 to 0
Feb 16, 2024 to Apr 29, 2025
HQ city · PASADENA to NEWPORT BEACH
Feb 16, 2024 to Apr 29, 2025
Other offices · 0 to 4
Feb 16, 2024 to Apr 29, 2025
Discretionary RAUM · $135M to $168M
Feb 16, 2024 to Apr 29, 2025
RAUM · $135M to $168M
Feb 16, 2024 to Apr 29, 2025
Advisory employees · 12 to 16
Jan 3, 2024 to Feb 16, 2024
Employees · 16 to 21
Jan 3, 2024 to Feb 16, 2024
Insurance-licensed employees · 1 to 0
Jan 3, 2024 to Feb 16, 2024
Discretionary RAUM · $169M to $135M
Jan 3, 2024 to Feb 16, 2024
RAUM · $169M to $135M
Jan 3, 2024 to Feb 16, 2024
Accounts · 4 to 3
Aug 16, 2022 to Mar 30, 2023
Advisory activities · 2 to 1
Aug 16, 2022 to Mar 30, 2023
Pooled vehicle clients · 0.0 to unset
Aug 16, 2022 to Mar 30, 2023
HQ city · SANTA MONICA to PASADENA
Aug 16, 2022 to Mar 30, 2023
Discretionary RAUM · $294M to $169M
Aug 16, 2022 to Mar 30, 2023
RAUM · $294M to $169M
Aug 16, 2022 to Mar 30, 2023
Advisory activities · 4 to 2
Nov 30, 2021 to Mar 31, 2022
Pooled vehicle clients · 1 to 0
Nov 30, 2021 to Mar 31, 2022
Discretionary RAUM · $223M to $294M
Nov 30, 2021 to Mar 31, 2022
Pooled vehicle RAUM · 48479416.0 to unset
Nov 30, 2021 to Mar 31, 2022
RAUM · $223M to $294M
Nov 30, 2021 to Mar 31, 2022
HQ city · IRVINE to SANTA MONICA
Sep 9, 2021 to Nov 30, 2021
Accounts · 6 to 4
Nov 12, 2020 to Mar 22, 2021
Advisory employees · 11 to 12
Nov 12, 2020 to Mar 22, 2021
State-registered IARs · 1 to 0
Nov 12, 2020 to Mar 22, 2021
Discretionary RAUM · $166M to $223M
Nov 12, 2020 to Mar 22, 2021
HNW RAUM · 691016.0 to unset
Nov 12, 2020 to Mar 22, 2021

Signals

14 dated events

Allan Matthew B••••• (Chief Compliance Officer) no longer on Schedule A of R••••••• I••••••••• R••••••• (listed 2024-01-03, absent 2024-02-16)
Feb 16, 2024 · Control person left · inference
B••• Dara B•••••••• (Chief Compliance Officer) no longer on Schedule A of R••••••• I••••••••• R••••••• (listed 2023-09-14, absent 2024-01-03)
Jan 3, 2024 · Control person left · inference
V•••• V••••••••• (Chief Executive Officer/Director) no longer on Schedule A of R••••••• I••••••••• R••••••• (listed 2023-03-30, absent 2023-06-13)
Jun 13, 2023 · Control person left · inference
Andrew Jeffrey Smith (Chief Compliance Officer) no longer on Schedule A of R••••••• I••••••••• R••••••• (listed 2023-03-30, absent 2023-06-13)
Jun 13, 2023 · Control person left · inference
B••• Dara B•••••••• (Chief Compliance Officer) appeared on Schedule A of R••••••• I••••••••• R•••••••
Jun 13, 2023 · Control person joined · fact
R••••••• I••••••••• R••••••• reported RAUM $169.3M, down 42% from $293.9M (2022-08-16 to 2023-03-30)
Mar 30, 2023 · RAUM change · derived
Andrew Jeffrey Smith (Chief Compliance Officer) appeared on Schedule A of R••••••• I••••••••• R•••••••
Mar 31, 2022 · Control person joined · fact
V•••• V••••••••• (Chief Executive Officer/Director) appeared on Schedule A of R••••••• I••••••••• R•••••••
Mar 22, 2021 · Control person joined · fact
J M•••••• B••••• (Director) appeared on Schedule A of R••••••• I••••••••• R•••••••
Mar 22, 2021 · Control person joined · fact
Wei K••• Ooi (Chief Compliance Officer) no longer on Schedule A of R••••••• I••••••••• R••••••• (listed 2020-07-16, absent 2020-11-12)
Nov 12, 2020 · Control person left · inference
Allan Matthew B••••• (Chief Compliance Officer) appeared on Schedule A of R••••••• I••••••••• R•••••••
Nov 12, 2020 · Control person joined · fact
R••••••• A•••• M••••••••• L•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
May 13, 2020 · Succession (Item 4) · fact
Wei K••• Ooi (Chief Compliance Officer) appeared on Schedule A of R••••••• I••••••••• R•••••••
May 13, 2020 · Control person joined · fact
R••••••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
Feb 10, 2020 · 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

Firm profile: linkedin.com/company/rayliantreportedpublic record, Form ADV, Sep 21, 2026
Website: r•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 626-407-4581reportedpublic record, Form ADV, Jul 30, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026