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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Former SEC-registered adviser

M••••••• L••• L••

Former SEC-registered adviserCRD 314482SEC 801-121462IAPD
Latest filing Oct 20, 2021
First filing on the tape May 11, 2021 · 8 filings
RAUM
$1.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
8 filings and snapshots on the tape
RAUM$1.9M as of Oct 20, 2021
May 11, 2021$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Oct 20, 2021
May 11, 20211 then
Employees (5.A)1 as of Oct 20, 2021
May 11, 20211 then
Private funds: no history
Practice profile
derived from the filing of Oct 20, 2021; every figure names its basis
RAUM per advisor
$1.9MderivedRAUM 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
$135,714derivedRAUM 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
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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • Individuals$1.9M100%
Individual clients
6reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • O••••••• S••• · Managing Member, Chief Compliance Officer, & Asset Managercontrol
    since 06/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Oakland, Ca000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0 to 14
    Jun 11, 2021 to Sep 15, 2021
  • Individual clients · unset to 6.0
    Jun 11, 2021 to Sep 15, 2021
  • Financial planning clients · unset to 0
    Jun 11, 2021 to Sep 15, 2021
  • Discretionary RAUM · $0 to $1.9M
    Jun 11, 2021 to Sep 15, 2021
  • Individual RAUM · unset to 1900000.0
    Jun 11, 2021 to Sep 15, 2021
  • RAUM · $0 to $1.9M
    Jun 11, 2021 to Sep 15, 2021
Signals
2 dated events
  • S••• O•••••• left M••••••• L••• L•• for P••••••• G••••• I•••••••• L•• (registered 2026-05-11)
    Sep 28, 2024 · Advisor changed firm · fact
  • M••••••• L••• L•• filed its initial SEC registration (Form ADV)
    May 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.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026