DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R••• I•••••••• • C••••••••• L••

Wealth manager with institutional or fund businessLos Angeles, CaliforniaCRD 326958SEC 801-128163IAPD

Latest filing Jul 1, 2026

First filing on the tape May 16, 2023 · 10 filings

SEC status approved since Jun 16, 2023

RAUM

$888M

reported, Item 5.F

Discretionary

48%

of RAUM

Private clients

32%

$287M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$888M as of Jul 1, 2026

Mar 27, 2024$812M then

HNW client RAUM$287M as of Jul 1, 2026

Mar 27, 2024$283M then

State-registered IARs (5.B.3)0 as of Jul 1, 2026

Mar 27, 20240 then

Employees (5.A)6 as of Jul 1, 2026

Mar 27, 20246 then

Private funds3 as of Jul 1, 2026

Mar 27, 20243 then

RAUM +3.9% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jul 1, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

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: $20.5MderivedHNW RAUM over HNW clients
Average account: $30.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 48%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +3.9%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $259M, 3 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

Pooled investment vehicles$402M45%
High-net-worth individuals$287M32%
Charitable organizations$102M11%
Corporations and businesses$96.4M11%

Individual clients: n/areported
HNW clients: 14reported
Pension plan clients: n/areported
Charitable clients: 7reported
Accounts: 29reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $259M for 3 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.32 fund_share=0.45 institutional_share=0.11 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 departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R••• C•••••• P••••••• I•• L•••	Other Private Fund	$136M	8	Feb 7, 2012
R••• C•••••• P••••••• I••• L•••	Private Equity Fund	$58.3M	8	Feb 7, 2012
R••• C•••••• P•••••••• L•••	Hedge Fund	$40.1M	7	Feb 7, 2012

Owners and control persons

Schedule A and B, latest filing

S•••••• M•••• S••••• · President/Managercontrol
since 03/1993 · owns less than 5%
S•••••• M•••• S••••• · Shareholdercontrol
since 01/2023 · owns 75% or more of R••• H•••••••• I••
B••••••••• S••••• E•••••••• · Principal
since 10/2021 · owns less than 5%
B••••• K••••••• N••• · Principal
since 12/1994 · owns less than 5%
N•••• E•••••• K••••• · Chief Compliance Officer
since 12/2022 · owns less than 5%

Entity owners

R••• H•••••••• I•• · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

M••• S• S•••••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 27 to 29
Jul 16, 2025 to Mar 30, 2026
HNW clients · 12 to 14
Jul 16, 2025 to Mar 30, 2026
Assets in custody · $250M to $259M
Jul 16, 2025 to Mar 30, 2026
Discretionary RAUM · $411M to $423M
Jul 16, 2025 to Mar 30, 2026
HNW RAUM · $292M to $287M
Jul 16, 2025 to Mar 30, 2026
Non-discretionary RAUM · $444M to $465M
Jul 16, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $389M to $402M
Jul 16, 2025 to Mar 30, 2026
RAUM · $855M to $888M
Jul 16, 2025 to Mar 30, 2026
Financial planning clients · unset to
May 12, 2025 to Jul 16, 2025
Assets in custody · $234M to $250M
Jul 1, 2024 to Mar 31, 2025
Discretionary RAUM · $397M to $411M
Jul 1, 2024 to Mar 31, 2025
HNW RAUM · $283M to $292M
Jul 1, 2024 to Mar 31, 2025
Non-discretionary RAUM · $415M to $444M
Jul 1, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $362M to $389M
Jul 1, 2024 to Mar 31, 2025
RAUM · $812M to $855M
Jul 1, 2024 to Mar 31, 2025
Assets in custody · $234M to $234M
May 16, 2023 to Mar 27, 2024
Discretionary RAUM · $431M to $397M
May 16, 2023 to Mar 27, 2024
HNW RAUM · $304M to $283M
May 16, 2023 to Mar 27, 2024
Non-discretionary RAUM · $351M to $415M
May 16, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $355M to $362M
May 16, 2023 to Mar 27, 2024
RAUM · $782M to $812M
May 16, 2023 to Mar 27, 2024
Succession · true to false
May 16, 2023 to Mar 27, 2024

Signals

2 dated events

R••• I•••••••• • C••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
May 16, 2023 · Succession (Item 4) · fact
R••• I•••••••• • C••••••••• L•• filed its initial SEC registration (Form ADV)
May 16, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

R••• I•••••••• • C••••••••• L•• · Independent Sponsors
shared crd · capital_provider
R••• I•••••••• • C••••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: (310) 843-0050reportedpublic record, Form ADV, Jul 1, 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: Wealth manager with institutional or fund businessderiveda 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