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.

Former SEC-registered adviser

T•• P•••••• G•••• I••

Former SEC-registered adviserSt. Helena, California, CaliforniaCRD 105359SEC 801-14344IAPD
Latest filing May 15, 2020
First filing on the tape Mar 27, 2012 · 33 filings
RAUM
$47.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$45.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$47.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$47.0M as of Apr 30, 2020
Mar 27, 2012$368M then
HNW client RAUM: $10.2M
State-registered IARs (5.B.3)1 as of Apr 30, 2020
Mar 25, 20131 then
Employees (5.A)1 as of Apr 30, 2020
Mar 25, 201311 then
Private funds1 as of Apr 1, 2014
Mar 27, 20121 then
RAUM -8.1% over the last fiscal year-12% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of May 15, 2020; every figure names its basis
RAUM per advisor
$47.0MderivedRAUM 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
$979,167derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$45.0M96%
  • Charitable organizations$2.0M4.3%
Individual clients
46reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
48reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• C•••• F•••••••••Calistoga, CaAug 23, 202647 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
C•••••• F••• L•no longer reportedHedge Fund$635,0003Mar 27, 2012
Owners and control persons
Schedule A and B, latest filing
  • F••••••••• R•••••• C•••• · Director/President/Chief Investment Officer/Chief Compliance Officercontrol
    since 09/1979 · owns less than 5%
Entity owners
  • F••••••••• R••••• C•••• · Trustee
    indirect · owns 75% or more of R••••• C•••• F••••••••• T•••• U•• 6••••••
  • R••••• C•••• F••••••••• T•••• U•• 6•••••• · Shareholder
    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
  • Accounts · 45 to 48
    Mar 18, 2020 to Mar 20, 2020
  • Advisory activities · 3 to 2
    Mar 18, 2020 to Mar 20, 2020
  • Individual clients · 48 to 46
    Mar 18, 2020 to Mar 20, 2020
  • Accounts · 46 to 45
    Feb 5, 2020 to Mar 18, 2020
  • Employees · 4 to 1
    Feb 5, 2020 to Mar 18, 2020
  • HQ city · SAN JOSE to ST. HELENA, CALIFORNIA
    Feb 5, 2020 to Mar 18, 2020
  • Discretionary RAUM · $53.7M to $47.0M
    Feb 5, 2020 to Mar 18, 2020
  • Individual RAUM · $51.0M to $45.0M
    Feb 5, 2020 to Mar 18, 2020
  • RAUM · $53.7M to $47.0M
    Feb 5, 2020 to Mar 18, 2020
  • Accounts · 50 to 46
    Mar 31, 2019 to Jan 8, 2020
  • Advisory activities · 6 to 3
    Mar 31, 2019 to Jan 8, 2020
  • Financial planning clients · 1-10 to 0
    Mar 31, 2019 to Jan 8, 2020
  • Other offices · 1 to 0
    Mar 31, 2019 to Jan 8, 2020
  • Discretionary RAUM · $51.1M to $53.7M
    Mar 31, 2019 to Jan 8, 2020
  • Individual RAUM · $49.1M to $51.0M
    Mar 31, 2019 to Jan 8, 2020
  • RAUM · $51.1M to $53.7M
    Mar 31, 2019 to Jan 8, 2020
  • Accounts · 55 to 50
    Mar 30, 2018 to Mar 31, 2019
  • Advisory employees · 2 to 1
    Mar 30, 2018 to Mar 31, 2019
  • Charity clients · 3 to 2
    Mar 30, 2018 to Mar 31, 2019
  • HNW clients · 15.0 to unset
    Mar 30, 2018 to Mar 31, 2019
  • Individual clients · unset to 48.0
    Mar 30, 2018 to Mar 31, 2019
  • Pension plan clients · 3.0 to unset
    Mar 30, 2018 to Mar 31, 2019
  • Financial planning clients · 51-100 to 1-10
    Mar 30, 2018 to Mar 31, 2019
  • State-registered IARs · 2 to 1
    Mar 30, 2018 to Mar 31, 2019
  • Discretionary RAUM · $59.1M to $51.1M
    Mar 30, 2018 to Mar 31, 2019
  • HNW RAUM · 10199516.0 to unset
    Mar 30, 2018 to Mar 31, 2019
  • Individual RAUM · unset to 49140000.0
    Mar 30, 2018 to Mar 31, 2019
  • Pension RAUM · 1379136.0 to unset
    Mar 30, 2018 to Mar 31, 2019
  • RAUM · $59.1M to $51.1M
    Mar 30, 2018 to Mar 31, 2019
  • Accounts · 108 to 55
    Oct 12, 2017 to Mar 30, 2018
  • HNW clients · 16 to 15
    Oct 12, 2017 to Mar 30, 2018
  • Discretionary RAUM · $63.5M to $59.1M
    Oct 12, 2017 to Mar 30, 2018
  • HNW RAUM · $9.9M to $10.2M
    Oct 12, 2017 to Mar 30, 2018
  • Pension RAUM · $1.4M to $1.4M
    Oct 12, 2017 to Mar 30, 2018
  • RAUM · $63.5M to $59.1M
    Oct 12, 2017 to Mar 30, 2018
  • Accounts · 112 to 108
    Sep 27, 2017 to Oct 10, 2017
  • Charity clients · unset to 3.0
    Sep 27, 2017 to Oct 10, 2017
  • HNW clients · unset to 16.0
    Sep 27, 2017 to Oct 10, 2017
  • Pension plan clients · unset to 3.0
    Sep 27, 2017 to Oct 10, 2017
  • Other offices · unset to 1.0
    Sep 27, 2017 to Oct 10, 2017
Signals
No event on the tape.
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
P••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$47.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026