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

S••••••• P•••••• C•••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 106985SEC 801-49080IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$215M
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
17
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$194M gross assets
History
8 filings and snapshots on the tape
RAUM$215M as of Mar 29, 2016
Mar 29, 2012$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 28, 20130 then
Employees (5.A)17 as of Mar 29, 2016
Mar 28, 201331 then
Private funds5 as of Mar 29, 2016
Mar 29, 20126 then
RAUM -70% over the last fiscal year-58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$19.5MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-70%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 pooled vehicles, portfolio management for investment companies, otherreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
11reported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• M••••• F•••• L•••no longer reportedHedge Fund$322M15Mar 29, 2012
      S••••••• P•••••• E•• F•••• L•••no longer reportedHedge Fund$232M12Mar 29, 2012
      S••••••• P•••••• C•••••• M••••• F•••• L•••Hedge Fund$149M47Mar 29, 2012
      S••••••• P•••••• E••••• F•••• L•••no longer reportedHedge Fund$146M2Mar 29, 2012
      S••••••• P•••••• P••••••• I••••••••• M••••• F•••• L•••no longer reportedHedge Fund$27.8M2Mar 29, 2012
      S••••••• P•••••• T••• F•••• L•••Hedge Fund$17.0M1Mar 29, 2016
      S••••••• P•••••• P••••••• M••••• F•••• L•••Hedge Fund$16.8M24Mar 29, 2012
      S••••••• P•••••• G••••• C••••••••• M••••• F•••• L•••Hedge Fund$8.5M22Mar 29, 2016
      S••••••• P•••••• J• F•••• L•••Hedge Fund$1.8M23Mar 30, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• G•••••• D•••••• · Co-Managing Partnercontrol
        since 01/2008 · owns less than 5%
      • V••••••••• R••• D•••• · Co-Managing Partnercontrol
        since 01/2008 · owns less than 5%
      • D••••••• G•••••• D•••••• · Membercontrol
        since 01/2008 · owns 50% to 75% of S•• G•• L••
      • V••••••••• R••• D•••• · Membercontrol
        since 01/2008 · owns 50% to 75% of S•• G•• L••
      • R••••• G••••••• Z••• · Chief Operating Officer, Chief Compliance Officer
        since 07/2015 · owns less than 5%
      Entity owners
      • S••••••• P•••••• P•••••••• L••• · Managing Member
        direct · owns 75% or more
      • S•• G•• L•• · General Partner
        indirect · owns 75% or more of S••••••• P•••••• P•••••••• L•••
      Related persons
      Schedule D 7.A
      • S•• J••••• L••
        investment advisery
      • S••••••• G••••• E••••• C•••••• L•••
        investment adviserbankpooled vehicle sponsory
      • S••••••• G••••• E••••• H•••••••• L•••
        investment adviserbankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Central Hong Kong, Hong Kong
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 11
        Oct 29, 2015 to Mar 29, 2016
      • Advisory employees · 10 to 8
        Oct 29, 2015 to Mar 29, 2016
      • Employees · 27 to 17
        Oct 29, 2015 to Mar 29, 2016
      • Private funds · 3 to 5
        Oct 29, 2015 to Mar 29, 2016
      • Discretionary RAUM · $711M to $215M
        Oct 29, 2015 to Mar 29, 2016
      • RAUM · $711M to $215M
        Oct 29, 2015 to Mar 29, 2016
      • Advisory employees · 13 to 10
        Mar 31, 2014 to Mar 30, 2015
      • Advisory activities · 2 to 3
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.8B to $711M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $1.8B to $711M
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 10 to 8
        Apr 17, 2013 to Mar 31, 2014
      • Advisory employees · 12 to 13
        Apr 17, 2013 to Mar 31, 2014
      • Employees · 31 to 27
        Apr 17, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.9B to $1.8B
        Apr 17, 2013 to Mar 31, 2014
      • RAUM · $2.9B to $1.8B
        Apr 17, 2013 to Mar 31, 2014
      • Accounts · 15 to 10
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 12.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 31.0
        Mar 29, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Private funds · 6 to 3
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $3.9B to $2.9B
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $3.9B to $2.9B
        Mar 29, 2012 to Mar 28, 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