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
B••••••••• C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 11, 2021 · 8 filings
SEC status approved since Mar 12, 2021
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
47
26 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 31, 2022$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20220 then
Employees (5.A)47 as of Mar 31, 2026
Mar 31, 202255 then
Private funds1 as of Mar 31, 2025
Mar 31, 20222 then
RAUM -8.5% over the last fiscal year-6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $602MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• 2•••••••• L••• | Securitized Asset Fund | $732M | 0 | Mar 31, 2022 |
| C••• 2•••••••• L••• | Securitized Asset Fund | $478M | 0 | Oct 7, 2019 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• J••••• · Ceo And Presidentcontrolsince 09/2019 · owns less than 5%
- P•••••• D••••• A• · Chief Compliance Officer, Vice President And Secretarycontrolsince 09/2019 · owns less than 5%
- S•••••••• F••••• V••• · Vice President And Treasurercontrolsince 09/2019 · owns less than 5%
- W•••• A•••••• E• · Vice Presidentcontrolsince 09/2019 · owns less than 5%
Entity owners
- B••••••••• C•••••• O•••••••• C••••••• L•• · Sole Memberdirect · owns 75% or more
- B••••••••• C••••••• I••• · Sole Memberindirect · owns 75% or more of B••••••••• C•••••• O•••••••• C••••••• L•• · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-31, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Employees · 49 to 47Mar 31, 2025 to Mar 31, 2026
- Private funds · 1 to unsetMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.2BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.2BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.2BMar 31, 2025 to Mar 31, 2026
- Employees · 55 to 49Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Private funds · 2 to 1Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.3BMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.2B to $1.3BMar 27, 2024 to Mar 31, 2025
- RAUM · $1.2B to $1.3BMar 27, 2024 to Mar 31, 2025
- Advisory employees · 27 to 26Mar 29, 2023 to Mar 27, 2024
- Employees · 54 to 55Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.5B to $1.2BMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.5B to $1.2BMar 29, 2023 to Mar 27, 2024
- RAUM · $1.5B to $1.2BMar 29, 2023 to Mar 27, 2024
- Advisory employees · 23 to 27Mar 31, 2022 to Mar 29, 2023
- Employees · 55 to 54Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.8B to $1.5BMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.8B to $1.5BMar 31, 2022 to Mar 29, 2023
- RAUM · $1.8B to $1.5BMar 31, 2022 to Mar 29, 2023
- Accounts · 1 to 2Jul 2, 2021 to Mar 31, 2022
- Business name · C••• A•••••••• L•• to B••••••••• C•••••• A•••••••• L••Jul 2, 2021 to Mar 31, 2022
- Pooled vehicle clients · 1 to 2Jul 2, 2021 to Mar 31, 2022
- Employees · 30 to 55Jul 2, 2021 to Mar 31, 2022
- Legal name · C••• A•••••••• L•• to B••••••••• C•••••• A•••••••• L••Jul 2, 2021 to Mar 31, 2022
- Private funds · 1 to 2Jul 2, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.0B to $1.8BJul 2, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.0B to $1.8BJul 2, 2021 to Mar 31, 2022
- RAUM · $1.0B to $1.8BJul 2, 2021 to Mar 31, 2022
- Assets in custody · $1.0B to $0Jun 16, 2021 to Jul 2, 2021
- Custody of client assets · true to falseJun 16, 2021 to Jul 2, 2021
- Other offices · 2 to 1Feb 11, 2021 to Jun 16, 2021
- Related adviser · true to falseFeb 11, 2021 to Jun 16, 2021
Signals
4 dated events
- Joseph Michael Mazzei (Ceo And President) appeared on Schedule A of B••••••••• C•••••• A•••••••• L••Mar 27, 2024 · Control person joined · fact
- E A••••• W••• (Vice President) appeared on Schedule A of B••••••••• C•••••• A•••••••• L••Mar 27, 2024 · Control person joined · fact
- B••••••••• C•••••• A•••••••• L•• reported RAUM $1.8B, up 79% from $1.0B (2021-07-02 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 11, 2021 · 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
- Principal office phone
- 212-547-2631reportedpublic record, Form ADV, Mar 31, 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