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

R•••••• I•••••••••

Former SEC-registered adviserSeattle, WashingtonCRD 106446SEC 801-47270IAPD
Legal name R•••••• R••• E••••• A••••••• I••
Latest filing Mar 23, 2015
First filing on the tape Mar 28, 2012 · 8 filings
RAUM
$893M
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
24
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$893M as of Mar 23, 2015
Mar 28, 2012$6.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2015
Mar 28, 20120 then
Employees (5.A)24 as of Mar 23, 2015
Mar 25, 201320 then
Private funds: no history
RAUM +1.9% over the last fiscal year-49% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 23, 2015; every figure names its basis
RAUM per advisor
$893MderivedRAUM 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
$128MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
24.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.9%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • 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)
  • controlled by a public reporting company (10.A)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• R••• · Directorcontrol
        since 05/2012 · owns less than 5%
      • G••••••••• K••••••• L••••• · Chief Compliance Officercontrol
        since 07/2011 · owns less than 5%
      • G•••••• E•••••• S•• · Directorcontrol
        since 03/2014 · owns less than 5%
      • L•••••••• H•••••••• V••••• · Director, President And Chief Executive Officercontrol
        since 11/2008 · owns less than 5%
      • M•••• M••••••• C•••••• · Chief Financial Officercontrol
        since 07/2010 · owns less than 5%
      • W••••••• K••••••• W•••• · Secretary And Chief Legal Officercontrol
        since 08/2008 · owns less than 5%
      Entity owners
      • F•••• R•••••• C•••••• · Shareholder
        direct · owns 75% or more
      • L••••• S•••• E••••••• G•••• P•• · Shareholder
        indirect · owns 75% or more of L••• U• H•••••• I•••
      • L••• U• H•••••• I••• · Owner
        indirect · owns 75% or more of F•••• R•••••• C••••••, Dba R•••••• I••••••••• G••••
      Related persons
      Schedule D 7.A
      • R•••••• I••••••••• G••••
        investment adviserpooled vehicle sponsorLP sponsory
      • F•••• R•••••• I••••••••• P••••••• 1•••••• G•••
        pooled vehicle sponsorn
      • F•••• R•••••• I••••••••• P••••••• 1•••••• G•••
        pooled vehicle sponsorn
      • F•• P••••••• I•• L•••
        pooled vehicle sponsorn
      • F•• P••••••• I•• L•••
        pooled vehicle sponsorn
      • G••• I••••••••• ••••••••• L•••
        pooled vehicle sponsorn
      • G••• I••••••••• L•••••
        pooled vehicle sponsorn
      • G••• M••••••••• ••••••••• L•••
        pooled vehicle sponsorn
      • G••• M••••••••• L•••••
        pooled vehicle sponsorn
      • R•••••• I•••••••••
        investment adviserbankpooled vehicle sponsornRAUM $35B
      • R•••••• E••••••• B••••••• P•• L••
        investment advisern
      • R•••••• F•••••••• S•••••••• I•••
        broker-dealern
      • R•••••• F•••••••• S•••••••• P•• L••
        investment advisern
      • R•••••• I•••••••••
        broker-dealerinvestment adviserbanknRAUM $81B
      • R•••••• I••••••••• S••••••• L••••••
        investment advisern
      • R•••••• I••••••••• F•••• M••••••••• L••
        pooled vehicle sponsorn
      • R•••••• I•••••••• A•••••• I•••
        real estaten
      • R•••••• I••••••••• G•••• L••
        investment advisern
      • R•••••• I••••••••• G•••• P•••••• L••••••
        investment advisern
      • R•••••• I••••••••• G•••• P•• L••
        investment advisern
      • R•••••• I•••••••••
        investment adviserpooled vehicle sponsorLP sponsornRAUM $69B
      • R•••••• I••••••••• M••••••••• L•••
        investment advisern
      • R•••••• I••••••••• T•••••••• C••••• H••••
        investment advisern
      • R•••••• I••••••••• C••••• L••••••
        broker-dealerinvestment advisern
      • R•••••• I••••••••• C••••• L•••
        investment adviserpooled vehicle sponsorn
      • R•••••• I••••••••• D••••••• I•••
        pooled vehicle sponsorn
      • R•••••• I••••••••• F••••• S••
        investment advisern
      • R•••••• I••••••••• I•••••• L••••••
        investment adviserbankpooled vehicle sponsorn
      • R•••••• I••••••••• J•••• C••• L•••
        investment advisern
      • R•••••• I••••••••• L••••••
        investment advisern
      Advisers that list R•••••• I••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • San Diego, CA
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 7
        Dec 23, 2014 to Mar 23, 2015
      • Advisory employees · 11 to 9
        Dec 23, 2014 to Mar 23, 2015
      • Advisory activities · 2 to 3
        Dec 23, 2014 to Mar 23, 2015
      • BD registered reps · 4 to 9
        Dec 23, 2014 to Mar 23, 2015
      • Employees · 23 to 24
        Dec 23, 2014 to Mar 23, 2015
      • State-registered IARs · 0 to 1
        Dec 23, 2014 to Mar 23, 2015
      • Discretionary RAUM · $877M to $893M
        Dec 23, 2014 to Mar 23, 2015
      • RAUM · $877M to $893M
        Dec 23, 2014 to Mar 23, 2015
      • Accounts · 5 to 6
        Jan 10, 2014 to Mar 25, 2014
      • Advisory employees · 9 to 11
        Jan 10, 2014 to Mar 25, 2014
      • BD registered reps · 3 to 4
        Jan 10, 2014 to Mar 25, 2014
      • Employees · 20 to 23
        Jan 10, 2014 to Mar 25, 2014
      • Discretionary RAUM · $454M to $877M
        Jan 10, 2014 to Mar 25, 2014
      • RAUM · $454M to $877M
        Jan 10, 2014 to Mar 25, 2014
      • Accounts · 6 to 5
        Jun 25, 2012 to Mar 25, 2013
      • Advisory employees · unset to 9.0
        Jun 25, 2012 to Mar 25, 2013
      • BD registered reps · 0 to 3
        Jun 25, 2012 to Mar 25, 2013
      • Assets in custody · 1284000000.0 to unset
        Jun 25, 2012 to Mar 25, 2013
      • Custody of client assets · true to false
        Jun 25, 2012 to Mar 25, 2013
      • Employees · unset to 20.0
        Jun 25, 2012 to Mar 25, 2013
      • Discretionary RAUM · $6.9B to $454M
        Jun 25, 2012 to Mar 25, 2013
      • RAUM · $6.9B to $454M
        Jun 25, 2012 to Mar 25, 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