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
X• C•••••• L••
Latest filing Mar 24, 2026
First filing on the tape Sep 9, 2021 · 12 filings
SEC status approved since Oct 8, 2021
RAUM
$184M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
79%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$184M as of Mar 24, 2026
Mar 29, 2022$184M then
HNW client RAUM$146M as of Mar 24, 2026
Mar 29, 2022$161M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 29, 20223 then
Employees (5.A)4 as of Mar 24, 2026
Mar 29, 20224 then
Private funds: no history
RAUM -1.2% over the last fiscal year-0.3% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $92.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.1MderivedHNW RAUM over HNW clients
- Average account
- $819,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $38.8M, 16 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- High-net-worth individuals$146M79%
- Corporations and businesses$35.5M19%
- Charitable organizations$2.6M1.4%
- Individual clients
- n/areported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 225reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.8M for 16 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- A••• B•••• S•••• to A•••••• F••••• O•••••Jun 16, 2026 · RIA to RIA
- J•••• R••••• O•••••• to A•••••• F••••• O•••••Jun 16, 2026 · RIA to RIA
Joined, latest
- J•••• R••••• O•••••• from W•••• F•••• I••••••••• L••Jan 11, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••••• F••••• O•••••Jun 16, 2026 · Los A••••••, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• T•••••• · Cio And Managing Membercontrolsince 08/2021 · owns 25% to 50%
- O••••••• J••••• R••••• · President, Chief Operating Officer & Chief Compliance Officercontrolsince 08/2021 · owns 25% to 50%
- S••••• A•••• B•••• · Ceo And Managing Membercontrolsince 08/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los A••••••, Ca | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 171 to 225Jul 11, 2025 to Mar 24, 2026
- Advisory employees · 3 to 2Jul 11, 2025 to Mar 24, 2026
- HNW clients · 20 to 18Jul 11, 2025 to Mar 24, 2026
- Assets in custody · $64.7M to $38.8MJul 11, 2025 to Mar 24, 2026
- Employees · 5 to 4Jul 11, 2025 to Mar 24, 2026
- State-registered IARs · 3 to 2Jul 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $54.8M to $47.9MJul 11, 2025 to Mar 24, 2026
- HNW RAUM · $150M to $146MJul 11, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $132M to $136MJul 11, 2025 to Mar 24, 2026
- RAUM · $187M to $184MJul 11, 2025 to Mar 24, 2026
- Financial planning clients · 26-50 to 26-50Mar 26, 2025 to Jul 11, 2025
- Accounts · 230 to 171Mar 28, 2024 to Mar 26, 2025
- HNW clients · 24 to 20Mar 28, 2024 to Mar 26, 2025
- Individual clients · 1.0 to unsetMar 28, 2024 to Mar 26, 2025
- Assets in custody · $73.3M to $64.7MMar 28, 2024 to Mar 26, 2025
- HQ city · unset to Mar 28, 2024 to Mar 26, 2025
- HQ state · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $70.9M to $54.8MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $157M to $150MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · 888348.0 to unsetMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $119M to $132MMar 28, 2024 to Mar 26, 2025
- RAUM · $190M to $187MMar 28, 2024 to Mar 26, 2025
- Accounts · 226 to 230May 8, 2023 to Mar 28, 2024
- HNW clients · 18 to 24May 8, 2023 to Mar 28, 2024
- Assets in custody · $64.1M to $73.3MMay 8, 2023 to Mar 28, 2024
- Employees · 4 to 5May 8, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 26-50May 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $68.4M to $70.9MMay 8, 2023 to Mar 28, 2024
- HNW RAUM · $156M to $157MMay 8, 2023 to Mar 28, 2024
- Individual RAUM · $608,945 to $888,348May 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $118M to $119MMay 8, 2023 to Mar 28, 2024
- RAUM · $186M to $190MMay 8, 2023 to Mar 28, 2024
- Assets in custody · $9.7M to $64.1MMar 29, 2023 to May 8, 2023
- Accounts · 199 to 226Jan 26, 2023 to Mar 29, 2023
- Advisory activities · 5 to 4Jan 26, 2023 to Mar 29, 2023
- Charity clients · unset to 1.0Jan 26, 2023 to Mar 29, 2023
- Corporate clients · unset to 4.0Jan 26, 2023 to Mar 29, 2023
- HNW clients · 16 to 18Jan 26, 2023 to Mar 29, 2023
- Individual clients · unset to 1.0Jan 26, 2023 to Mar 29, 2023
- Assets in custody · $0 to $9.7MJan 26, 2023 to Mar 29, 2023
Signals
5 dated events
- X• C•••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $184.4M)Jul 1, 2026 · Left the SEC roster · derived
- 2 advisors left X• C•••••• L•• (Los A••••••, CA) for A•••••• F••••• O••••• on the same dayJun 16, 2026 · Team lift-out · derived
- A••• B•••• S•••• left X• C•••••• L•• for A•••••• F••••• O••••• (registered 2026-06-03)Jun 16, 2026 · Advisor changed firm · fact
- J•••• R••••• O•••••• left X• C•••••• L•• for A•••••• F••••• O••••• (registered 2026-06-03)Jun 16, 2026 · Advisor changed firm · fact
- X• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 9, 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