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
A•• A•••• D••••••••• I• L•
Latest filing Mar 30, 2026
First filing on the tape Oct 2, 2023 · 6 filings
SEC status approved since Nov 1, 2023
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
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
46
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$2.3B as of Mar 30, 2026
Mar 29, 2024$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 29, 20240 then
Employees (5.A)46 as of Mar 30, 2026
Mar 29, 202438 then
Private funds6 as of Mar 30, 2026
Mar 29, 20246 then
RAUM +1.0% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Mar 30, 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
- $2.3BderivedRAUM 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
- $375MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 46.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $144M, 1 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$2.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $144M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=9.0derived
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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• C•• 2•••••• L••• | Securitized Asset Fund | $501M | 34 | Aug 24, 2017 |
| T••••••• C•• I•• L••• | Securitized Asset Fund | $477M | 25 | Feb 26, 2018 |
| T••••••• C•• I••• L••• | Securitized Asset Fund | $403M | 18 | Feb 26, 2019 |
| T••••••• C•• I•• L••• | Securitized Asset Fund | $402M | 25 | Aug 2, 2021 |
| T••••••• C•• V• L••• | Securitized Asset Fund | $401M | 26 | Aug 2, 2021 |
| A•• A•••• D••••••••• I• L• | Private Equity Fund | $121M | 2 | Oct 2, 2023 |
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J•••••• G•••••• · General Counselcontrolsince 07/2023 · owns less than 5%
- N••••• D••••••• D•• · Chief Executive Officercontrolsince 07/2023 · owns less than 5%
- R•••••• C••••• E••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- S•••••• J•••••• B•••• · Chief Operating Officercontrolsince 07/2023 · owns less than 5%
Entity owners
- A•• A•••• G• I• L•• · General Partnerdirect · owns less than 5%
- A•••••••• C•••••• M••••••••• L•• · Owner, Memberindirect · owns 50% to 75% of A•••••••• P•••••• C••••••• L••
- A•••••••• P•••••• C••••••• L•• · Owner/Managing Memberindirect · owns 75% or more of A•• A•••• G• I• L••
- G••••••• H••••••• · Owner/ Memberindirect · owns F of A•••••••• C•••••• M••••••••• L••
- R•• A••••••••• C•••••• L•• · Owner/Memberindirect · owns 25% to 50% of A•••••••• C•••••• M••••••••• L••
- P•••••• L••• I•••••••• C•••••• · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•• A•••• D••••••••• I•• L•investment advisernRAUM $2.1B
- A•• A•••• G• I• L••pooled vehicle sponsory
- A•• A•••• G• I•• L••pooled vehicle sponsory
- A•• H• B••• G•• L••pooled vehicle sponsorn
- A•• S•••• D••••••• H• G•• L••pooled vehicle sponsorn
- A•••••••• A••••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $2.2B
- A•••••••• C•••••• B•••••• L••investment advisernRAUM $1.8B
- A•••••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $44B
- A•••••••• C••••• P•••••••• L••investment advisernRAUM $81.1M
- A•••••••• I••••••••• S•••••••• L••investment advisernRAUM $17B
- A•••••••• P•••••• C••••••• L••investment adviserpooled vehicle sponsoryRAUM $27B
- M•••••• F••• M••••••• L••pooled vehicle sponsorn
- M•••••• R••••• A•••••••• L••investment advisern
- P•• B••• L••• G• L••pooled vehicle sponsorn
- P•• C•• O••••••••• G• L••pooled vehicle sponsorn
- S••• F••• G•• L••pooled vehicle sponsorn
Advisers that list A•• A•••• D••••••••• I• L• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 21 to 22Mar 28, 2025 to Mar 30, 2026
- BD registered reps · 7 to 9Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $0 to $144MMar 28, 2025 to Mar 30, 2026
- Employees · 42 to 46Mar 28, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 1Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.2B to $2.3BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.2B to $2.3BMar 28, 2025 to Mar 30, 2026
- RAUM · $2.2B to $2.3BMar 28, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 3Apr 29, 2024 to Mar 28, 2025
- Advisory employees · 25 to 21Apr 29, 2024 to Mar 28, 2025
- BD registered reps · 5 to 7Apr 29, 2024 to Mar 28, 2025
- Employees · 38 to 42Apr 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.3B to $2.2BApr 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.3B to $2.2BApr 29, 2024 to Mar 28, 2025
- RAUM · $2.3B to $2.2BApr 29, 2024 to Mar 28, 2025
- BD registered reps · 8 to 5Jan 26, 2024 to Mar 29, 2024
- Accounts · 0 to 6Oct 2, 2023 to Jan 26, 2024
- BD registered reps · 9 to 8Oct 2, 2023 to Jan 26, 2024
- Pooled vehicle clients · unset to 6.0Oct 2, 2023 to Jan 26, 2024
- Assets in custody · unset to 0.0Oct 2, 2023 to Jan 26, 2024
- Custody of client assets · false to trueOct 2, 2023 to Jan 26, 2024
- Employees · 39 to 38Oct 2, 2023 to Jan 26, 2024
- Private funds · 1 to 6Oct 2, 2023 to Jan 26, 2024
- Discretionary RAUM · $0 to $2.3BOct 2, 2023 to Jan 26, 2024
- Pooled vehicle RAUM · unset to 2304772597.0Oct 2, 2023 to Jan 26, 2024
- RAUM · $0 to $2.3BOct 2, 2023 to Jan 26, 2024
Signals
1 dated events
- A•• A•••• D••••••••• I• L• filed its initial SEC registration (Form ADV)Oct 2, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•• A•••• D••••••••• I• L• · Independent Sponsorsshared crd · capital_provider
- A•• A•••• D••••••••• I• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (949) 681-2100reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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