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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••••• P•••••• H••••••••• P•••••••• L••
Asset manager (funds and pooled vehicles)San Juan Capistrano, CaliforniaCRD 329737SEC 801-130209IAPD
Latest filing Jul 2, 2026
First filing on the tape Apr 4, 2024 · 6 filings
SEC status approved since May 3, 2024
RAUM
$380M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$380M as of Jul 2, 2026
Mar 31, 2025$276M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 2, 2026
Mar 31, 20250 then
Employees (5.A)5 as of Jul 2, 2026
Mar 31, 20254 then
Private funds4 as of Jul 2, 2026
Mar 31, 20256 then
RAUM +38% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $75.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- 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
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$380M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• C••••• J•••••• · Presidentcontrolsince 04/2011 · owns less than 5%
- C••••••• M••••••• L•••• · Chief Compliance Officer And Chief Financial Officersince 06/2012 · owns less than 5%
- F•••••• C••••• J•••••• · Beneficiarysince 10/2023 · owns 75% or more of F••••• F••••• T••••
Entity owners
- F••••• F••••• T•••• · Memberindirect · owns 75% or more of T••••• P•••••• C•••••• P••••••• L••
- T••••• P•••••• C•••••• P••••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- T••• I••••••••• I•••• L••pooled vehicle sponsorn
- T••• I••••••••• X••• L••pooled vehicle sponsorn
- T••• I••••••••• X•••••• L••pooled vehicle sponsorn
- T••• I••••••••• X•••••• L••pooled vehicle sponsorn
- T••• I••••••••• X••••••• L••pooled vehicle sponsorn
- T••••• P•••••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 6 to 5Mar 31, 2025 to Mar 30, 2026
- Employees · 4 to 5Mar 31, 2025 to Mar 30, 2026
- Private funds · 6 to 4Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $276M to $380MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $276M to $380MMar 31, 2025 to Mar 30, 2026
- RAUM · $276M to $380MMar 31, 2025 to Mar 30, 2026
- Related adviser · true to falseMar 31, 2025 to Mar 30, 2026
- Accounts · 5 to 6Aug 28, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Aug 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 6Aug 28, 2024 to Mar 31, 2025
- Employees · 5 to 4Aug 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 28, 2024 to Mar 31, 2025
- Private funds · 5 to 6Aug 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $233M to $276MAug 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $233M to $276MAug 28, 2024 to Mar 31, 2025
- RAUM · $233M to $276MAug 28, 2024 to Mar 31, 2025
- Accounts · 0 to 5Apr 15, 2024 to Aug 28, 2024
- Pooled vehicle clients · unset to 5.0Apr 15, 2024 to Aug 28, 2024
- Private funds · unset to 5Apr 15, 2024 to Aug 28, 2024
- Discretionary RAUM · $0 to $233MApr 15, 2024 to Aug 28, 2024
- Pooled vehicle RAUM · unset to 233399916.0Apr 15, 2024 to Aug 28, 2024
- RAUM · $0 to $233MApr 15, 2024 to Aug 28, 2024
Signals
2 dated events
- T••••• P•••••• H••••••••• P•••••••• L•• reported RAUM $379.6M, up 38% from $275.8M (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- T••••• P•••••• H••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Apr 4, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T••••• P•••••• H••••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- T••••• P•••••• H••••••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 949-300-0999reportedpublic record, Form ADV, Jul 2, 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