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

R•• I••••••••• A•••• M••••••••• G•••• 2• L••

No RAUM reportedStudio City, CaliforniaCRD 324467SEC 801-130005websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2024 · 5 filings
SEC status approved since May 21, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Mar 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20251 then
Employees (5.A)9 as of Mar 31, 2026
Mar 31, 20259 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• R•••• P•••••• · Co-Ceocontrol
        since 06/2018 · owns less than 5%
      • R••••• J•••••• S•••• · Presidentcontrol
        since 06/2018 · owns less than 5%
      • T•••• M••••••• C•••••• · Co-Ceocontrol
        since 06/2018 · owns less than 5%
      • L••••• R•••• P•••••• · Trusteecontrol
        since 06/2012 · owns F of T•• R•• L••••• T••••
      • R••••• J•••••• S•••• · Trusteecontrol
        since 09/2014 · owns F of T•• R•••• L••••• T••••
      • T•••• M••••••• C•••••• · Trusteecontrol
        since 06/2009 · owns F of W•••••••• T••••
      • F•••• N••••••• J• · Chief Compliance Officer
        since 05/2020 · owns less than 5%
      Entity owners
      • R•••• M••••• A•••• M•••••••• G••••• L•• · Member
        direct · owns 75% or more
      • R•••• S••••• C•••••• M•••••• L•• · Non-Member M••••••
        direct · owns less than 5%
      • R•••• S••••• C•••••• M••••••• L•• · Non Member M••••••
        indirect · owns F of R•••• M••••• A•••• M•••••••• G••••• L••
      • S••••• R•••• H••••• I• L•• · Sole Member
        indirect · owns 75% or more of R•••• S••••• C•••••• M•••••• L••
      • T•• R•••• L••••• T•••• · Member
        indirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
      • T•• R•• L••••• T•••• · Member
        indirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
      • W•••••••• T•••• · Member
        indirect · owns 25% to 50% of S••••• R•••• H••••• I• L••
      Related persons
      Schedule D 7.A
      Advisers that list R•• I••••••••• A•••• M••••••••• G•••• 2• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Denver, CO2 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to 0
        Sep 27, 2024 to Mar 31, 2025
      • State-registered IARs · 5 to 1
        Sep 27, 2024 to Mar 31, 2025
      • Advisory employees · 2 to 5
        May 17, 2024 to Sep 27, 2024
      • Employees · 5 to 9
        May 17, 2024 to Sep 27, 2024
      • State-registered IARs · 0 to 5
        May 17, 2024 to Sep 27, 2024
      • Other offices · 1 to 2
        May 17, 2024 to Sep 27, 2024
      Signals
      1 dated events
      • R•• I••••••••• A•••• M••••••••• G•••• 2• L•• filed its initial SEC registration (Form ADV)
        Mar 26, 2024 · 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
      Website
      r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      310-598-7073reportedpublic 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
      No RAUM reportedderiveda 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