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.
SEC-registered adviser
S•• R••• E••••• A•••••••
Latest filing Mar 30, 2026
First filing on the tape Jun 23, 2021 · 7 filings
SEC status approved since Jul 22, 2021
RAUM
$474M
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
$474M
derived; firm RAUM over IAPD count
Employees
14
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$474M as of Mar 30, 2026
Mar 10, 2022$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 10, 20220 then
Employees (5.A)14 as of Mar 30, 2026
Mar 10, 20221 then
Private funds5 as of Mar 30, 2026
Mar 10, 20223 then
RAUM +19% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 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
- $474MderivedRAUM 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
- $94.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 14.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$474M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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 |
|---|---|---|---|---|
| K•••••• E••• M••••Chartered Financial Analyst | Los Angeles, Ca | Jan 1, 2026 | 19 y | 1 |
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
- K•••••• E••• M•••• from S•••••••• D••••••••• I••••••••• L••Jan 1, 2026 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• S••••••••• H•••••• F•••• L• | Real Estate Fund | $190M | 16 | Jul 28, 2020 |
| A••••••• S•••• R••• E••••• F••• I•• L• | Real Estate Fund | $174M | 20 | Mar 10, 2022 |
| A••••••• S•••• R••• E••••• F•••• L• | Real Estate Fund | $35.6M | 12 | Jul 28, 2020 |
Owners and control persons
Schedule A and B, latest filing
- L• F••••••• D••••••• J••• · Chief Executive Officercontrolsince 04/2020 · owns less than 5%
- M••••• K••••••• E••• · Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
- L• F••••••• D••••••• J••• · Membercontrolsince 06/2009 · owns 75% or more of S•• C•••••• G••••• L••
Entity owners
- S•• C•••••• G••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••• G• I•• L••pooled vehicle sponsorn
- A••• G•• L••pooled vehicle sponsorn
- S•• S•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was 0.0% (734 comparable advisers, 98.0th percentile of changes)peers: asset managers, $100M to $500M (734) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 12 to 11Dec 3, 2025 to Mar 30, 2026
- Employees · 12 to 14Dec 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $460M to $474MDec 3, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $460M to $474MDec 3, 2025 to Mar 30, 2026
- RAUM · $460M to $474MDec 3, 2025 to Mar 30, 2026
- Accounts · 3 to 5Mar 27, 2025 to Dec 3, 2025
- Pooled vehicle clients · 3 to 5Mar 27, 2025 to Dec 3, 2025
- Private funds · 3 to 5Mar 27, 2025 to Dec 3, 2025
- Discretionary RAUM · $399M to $460MMar 27, 2025 to Dec 3, 2025
- Pooled vehicle RAUM · $399M to $460MMar 27, 2025 to Dec 3, 2025
- RAUM · $399M to $460MMar 27, 2025 to Dec 3, 2025
- Advisory employees · 1 to 12Mar 27, 2024 to Mar 27, 2025
- Employees · 2 to 12Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $400M to $399MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $400M to $399MMar 27, 2024 to Mar 27, 2025
- RAUM · $400M to $399MMar 27, 2024 to Mar 27, 2025
- State-registered IARs · 0 to 1Mar 25, 2023 to Mar 27, 2024
- Discretionary RAUM · $278M to $400MMar 25, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $278M to $400MMar 25, 2023 to Mar 27, 2024
- RAUM · $278M to $400MMar 25, 2023 to Mar 27, 2024
- Employees · 1 to 2Mar 10, 2022 to Mar 25, 2023
- Discretionary RAUM · $251M to $278MMar 10, 2022 to Mar 25, 2023
- Pooled vehicle RAUM · $251M to $278MMar 10, 2022 to Mar 25, 2023
- RAUM · $251M to $278MMar 10, 2022 to Mar 25, 2023
- Accounts · 2 to 3Jun 23, 2021 to Mar 10, 2022
- Pooled vehicle clients · 2 to 3Jun 23, 2021 to Mar 10, 2022
- Private funds · 4 to 3Jun 23, 2021 to Mar 10, 2022
- Discretionary RAUM · $181M to $251MJun 23, 2021 to Mar 10, 2022
- Pooled vehicle RAUM · $181M to $251MJun 23, 2021 to Mar 10, 2022
- RAUM · $181M to $251MJun 23, 2021 to Mar 10, 2022
Signals
2 dated events
- S•• R••• E••••• A••••••• reported RAUM $399.7M, up 44% from $277.5M (2023-03-25 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- S•• R••• E••••• A••••••• filed its initial SEC registration (Form ADV)Jun 23, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• R••• E••••• A••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-914-5333reportedpublic record, Form ADV, Mar 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
- $474Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S•• R••• E••••• A••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…