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

W•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserSanta Cruz, CaliforniaCRD 106676SEC 801-52709IAPD
Latest filing Mar 28, 2013
First filing on the tape Mar 29, 2012 · 4 filings
RAUM
$120M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$120M as of Mar 28, 2013
Mar 29, 2012$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds: no history
RAUM -14% over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
$9.3MderivedRAUM 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
-14%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 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
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
13reported
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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••••••• A••••••••• H•••••••• S• L•Private Equity Fund$3.1M20Feb 27, 2014
      W•••••••• P•••••••• L•Hedge Fund$2.8M55Feb 27, 2014
      W•••••••• C•••••• H••• Y•••• F•••• L•Hedge Fund$1.3M22Feb 27, 2014
      W•••••••• V••••••• F•••• L•Hedge Fund$1.2M29Feb 27, 2014
      W•••••••• A••••••••• E••••• F•••• L•Private Equity Fund$767,02069Feb 27, 2014
      W•••••••• F•••• L•Hedge Fund$469,99616Feb 27, 2014
      M••••• F•••Hedge Fund$269,32610Feb 27, 2014
      S• F••••• L••Hedge Fund$166,1352Feb 27, 2014
      W•••••••• A••••••••• H•••••••• L•Private Equity Fund$111,9553Feb 27, 2014
      W•••••••• A••••••••• G•••••• L•Hedge Fund$00Feb 27, 2014
      W•••••••• S•••••• O••••••••• L•Hedge Fund$00Feb 27, 2014
      W•••••••• L••••••••• L•Hedge Fund$00Feb 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• M•••• F••••••••• · Member/Chief Compliance Officercontrol
        since 02/1997 · owns 5% to 10%
      • H•••••• D•••••• R••• · Coo/Membercontrol
        since 01/2003 · owns 5% to 10%
      • S••••••• I••• R••••••• S••••• · Sr. Portfolio Manager/Membercontrol
        since 08/1996 · owns 50% to 75%
      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
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $139M to $120M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $139M to $120M
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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