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

L••••• I••••••••• M•••••••••

Former SEC-registered adviserSan Jose, CaliforniaCRD 318630SEC 801-123288IAPD
Legal name L••••• I••••••••• M••••••••• L••
Latest filing Mar 28, 2023
First filing on the tape Jan 21, 2022 · 9 filings
RAUM
$181M
reported, Item 5.F
Discretionary
0.0%
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$181M as of Mar 28, 2023
Jan 21, 2022$65.0M then
HNW client RAUM$0 as of Mar 28, 2023
Feb 25, 2022$0 then
State-registered IARs (5.B.3)1 as of Mar 28, 2023
Jan 21, 20221 then
Employees (5.A)5 as of Mar 28, 2023
Jan 21, 20225 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
RAUM per advisor
$181MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 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
fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, 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
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$181M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
165reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E•••••• J•••••• A•••••• · Chief Executive Officercontrol
      since 11/2021 · owns less than 5%
    • M••••• B••••• M• · Chief Compliance Officercontrol
      since 11/2021 · owns less than 5%
    Entity owners
    • L•••••• I••••••••• · Direct Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Non-discretionary RAUM · $89.0M to $181M
      Dec 19, 2022 to Mar 28, 2023
    • Pooled vehicle RAUM · $89.0M to $181M
      Dec 19, 2022 to Mar 28, 2023
    • RAUM · $89.0M to $181M
      Dec 19, 2022 to Mar 28, 2023
    • HQ city · PACIFIC GROVE to SAN JOSE
      Mar 23, 2022 to Dec 10, 2022
    • Charity clients · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • Corporate clients · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • HNW clients · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • Individual clients · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • Pension plan clients · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • Pooled vehicle clients · unset to 165.0
      Feb 15, 2022 to Feb 25, 2022
    • HNW RAUM · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • Individual RAUM · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • Non-discretionary RAUM · $65.0M to $89.0M
      Feb 15, 2022 to Feb 25, 2022
    • Pension RAUM · unset to 0.0
      Feb 15, 2022 to Feb 25, 2022
    • Pooled vehicle RAUM · unset to 89000000.0
      Feb 15, 2022 to Feb 25, 2022
    • RAUM · $65.0M to $89.0M
      Feb 15, 2022 to Feb 25, 2022
    Signals
    2 dated events
    • N••••••• S•••••• H•••••••• left L••••• I••••••••• M••••••••• for J•••••••• I••••••••• A••••••• L•• (registered 2025-09-08)
      Sep 18, 2023 · Advisor changed firm · fact
    • L••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
      Jan 21, 2022 · 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