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D•• I••••••••• A•••••••• L••

Institutional managerSEC-registered· Santa Monica, Californiawebsite

Institutional manager, based in Santa Monica, California, reporting $446M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$446M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+3.0%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. New owner
    ownership and control

    D••• R•••••• C•••••• L•• appeared on Schedule A as an owner on 8 Jul 2026.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
  2. +3.0%
    RAUM, one year

    RAUM $433M to $446M (+3.0%) on the Form ADV filed 8 Jul 2026.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 332680 · SEC 801-132041 · 4 filingsShow
CRD 332680SEC 801-132041First filing on the tape Jan 27, 2025, latest Jul 8, 2026SEC status approved since Feb 26, 2025IAPD
RAUM
$446M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape

RAUM +3.0% over the last fiscal year · the tape starts Jan 27, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$446M as of Jul 8, 2026
Jan 27, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 8, 2026
Jan 27, 20250 then
Employees (5.A)4 as of Jul 8, 2026
Jan 27, 20255 then
Private funds: no history
RAUM +3.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 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
unknownderivedHNW RAUM over HNW clients
Average account
$74.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
51%derivedof RAUM
Institutional
78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
-9.7%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing

78% insurance companies, 22% other investment advisers

The breakdown by client type, and the client counts2 client typesShow
  • Insurance companies$346M78%
  • Other investment advisers$100M22%
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
noreported
Compensation
% of AUMreported
Class basis
RAUM: 0% private clients, 22% pooled funds, 78% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • T••••• S••••••• G•••••• · Chief Financial Officercontrol
        since 02/2024 · owns less than 5%
      • W•••••••• C••••• L••••• · Chief Compliance Officer Chief Executive Officercontrol
        since 09/2024 · owns less than 5%
      Entity owners
      • D••• R•••••• C•••••• L•• · Controlling Entity
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $198M to $228M
        Jan 13, 2026 to Jul 8, 2026
      • Non-discretionary RAUM · $193M to $218M
        Jan 13, 2026 to Jul 8, 2026
      • RAUM · $391M to $446M
        Jan 13, 2026 to Jul 8, 2026
      • Accounts · 7 to 6
        Mar 13, 2025 to Jan 13, 2026
      • Discretionary RAUM · $210M to $198M
        Mar 13, 2025 to Jan 13, 2026
      Full history · 14 changes
      • Non-discretionary RAUM · $223M to $193M
        Mar 13, 2025 to Jan 13, 2026
      • RAUM · $433M to $391M
        Mar 13, 2025 to Jan 13, 2026
      • Accounts · 0 to 7
        Jan 27, 2025 to Mar 13, 2025
      • Advisory employees · 5 to 4
        Jan 27, 2025 to Mar 13, 2025
      • Employees · 5 to 4
        Jan 27, 2025 to Mar 13, 2025
      • Financial planning clients · unset to
        Jan 27, 2025 to Mar 13, 2025
      • Discretionary RAUM · $0 to $210M
        Jan 27, 2025 to Mar 13, 2025
      • Non-discretionary RAUM · $0 to $223M
        Jan 27, 2025 to Mar 13, 2025
      • RAUM · $0 to $433M
        Jan 27, 2025 to Mar 13, 2025
      Signals
      1 dated events
      • ••• Locked
        Jan 27, 2025 · First SEC registration · derived
      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
      ••• Lockedreportedpublic record, Form ADV, Jul 8, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jul 8, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Institutional managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.