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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Former SEC-registered adviser

T••••• G••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserLarkspur, CaliforniaCRD 105621SEC 801-15279IAPD
Latest filing Mar 6, 2017
First filing on the tape Mar 7, 2012 · 7 filings
RAUM
$1.0B
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
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$38.6M gross assets
History
7 filings and snapshots on the tape
RAUM$1.0B as of Mar 6, 2017
Mar 7, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2017
Mar 7, 20120 then
Employees (5.A)8 as of Mar 6, 2017
Feb 27, 20137 then
Private funds1 as of Mar 6, 2017
Mar 7, 20121 then
RAUM -41% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2017; 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
$65.6MderivedRAUM 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
-41%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 individuals, portfolio management for businesses and institutions, 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•••• P•••••••Hedge Fund$38.6M10Mar 7, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• D•••••• L•••• · Vice Presidentcontrol
        since 11/1982 · owns 25% to 50%
      • R••••• S••••• R•••••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 01/2004 · owns less than 5%
      • T•••••• M•••••• T••••••• · President & Directorcontrol
        since 05/1980 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • L••••••• V•••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 28 to 16
        Feb 22, 2016 to Mar 6, 2017
      • Discretionary RAUM · $1.8B to $1.0B
        Feb 22, 2016 to Mar 6, 2017
      • RAUM · $1.8B to $1.0B
        Feb 22, 2016 to Mar 6, 2017
      • Accounts · 34 to 28
        Feb 27, 2015 to Feb 22, 2016
      • Discretionary RAUM · $2.2B to $1.8B
        Feb 27, 2015 to Feb 22, 2016
      • RAUM · $2.2B to $1.8B
        Feb 27, 2015 to Feb 22, 2016
      • Accounts · 38 to 34
        Feb 10, 2014 to Feb 27, 2015
      • Discretionary RAUM · $2.0B to $2.2B
        Feb 10, 2014 to Feb 27, 2015
      • RAUM · $2.0B to $2.2B
        Feb 10, 2014 to Feb 27, 2015
      • Accounts · 43 to 38
        Feb 27, 2013 to Feb 10, 2014
      • Advisory employees · 4 to 5
        Feb 27, 2013 to Feb 10, 2014
      • Employees · 7 to 8
        Feb 27, 2013 to Feb 10, 2014
      • Discretionary RAUM · $1.9B to $2.0B
        Feb 27, 2013 to Feb 10, 2014
      • RAUM · $1.9B to $2.0B
        Feb 27, 2013 to Feb 10, 2014
      • Accounts · 50 to 43
        Apr 20, 2012 to Feb 27, 2013
      • Advisory employees · unset to 4.0
        Apr 20, 2012 to Feb 27, 2013
      • Advisory activities · 4 to 3
        Apr 20, 2012 to Feb 27, 2013
      • Employees · unset to 7.0
        Apr 20, 2012 to Feb 27, 2013
      • Discretionary RAUM · $2.2B to $1.9B
        Apr 20, 2012 to Feb 27, 2013
      • RAUM · $2.2B to $1.9B
        Apr 20, 2012 to Feb 27, 2013
      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.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026