DFX Intelligence

S••••••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 1b 10b

S••••••• C•••••• M••••••••• L••

CRD 281266

GREENBRAE, CA

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Data as of Jul 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 14
On other graphs: 2
Observed: Oct 25, 2017 to Jul 16, 2026
21 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S••••••• C•••••• M••••••••• L••

Private equity manager · key_cik, key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

S••••••• C•••••• M••••••••• L••

Capital provider to sponsors · key_cik, key_crd, key_sfn_adviser, shared_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.16 fund_share=0.78 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $2.0B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $329Mderived••• Locked
Private client share: 16%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $2.0Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• A••••• R••••••••	n/a	GREENBRAE, CA	0	29	1	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••• P•••••••• L•	Hedge Fund	$16.2M	Nov 30, 2018	37	Oct 25, 2017	dropped	021-248669
S••••••• G••••••• S•• I• L•	Private Equity Fund	$0	Jul 16, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• P••••••• T•	CHIEF OPERATING OFFICER	Na	yes	08/2016	Oct 25, 2017	Mar 26, 2024
R••••••••• J••••• A•••••	President	E	yes	03/2015	Oct 25, 2017	Mar 26, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.0B	$1.8B	12.6%	$1.3B	17.0%	11	10	0	0

Relationships

Advises (2)

→ S••••••• G••••••• S•• I• L•Private fundPrivate Equity Fund, IA
Jul 16, 2026 to presentfactForm ADV
→ S••••••• P•••••••• L•Private fundHedge Fund, IA, no longer reported
Oct 25, 2017 to Nov 30, 2018factForm ADV

Registered with (1)

← J•••• A••••• R••••••••Advisorregistration: previous registration
Jul 21, 2017 to Nov 20, 2025factForm ADV

Controls (3)

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
9 Jun 2026
Ria hq relocated
••• Locked
Form ADV
Occurred
16 Jul 2026
Ria principal change2 events
S••••••• C•••••• M••••••••• L••: ria principal change, 2 events, on 16 Jul 2026
- ••• Locked
- ••• Locked
Occurred
16 Jul 2026
Private fund no longer reported
••• Locked
Form ADV
$16.2M
Occurred
16 Jul 2026
Private fund first reported
••• Locked
Form ADV
Occurred
29 Apr 2025
Regulatory AUM changed
••• Locked
Form ADV
$387M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 25, 2017
Last observed: Jul 16, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.