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•••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 107969SEC 801-55028IAPD
Latest filing Mar 25, 2015
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$2.9B
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
12
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
11
$1.9B gross assets
History
10 filings and snapshots on the tape
RAUM$2.9B as of Mar 25, 2015
Mar 28, 2012$6.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 25, 2015
Mar 25, 20132 then
Employees (5.A)12 as of Mar 25, 2015
Mar 25, 201332 then
Private funds11 as of Mar 25, 2015
Mar 28, 201216 then
RAUM -55% over the last fiscal year-25% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2015; every figure names its basis
RAUM per advisor
$1.4BderivedRAUM 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
$191MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-55%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.9B, 11 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.9B for 11 clientsreported
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
      18 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••••••••• I••••••••• L•••no longer reportedHedge Fund$783M2Mar 28, 2012
      R••••••••• I•••••••• M•••••• F••• I•• L•••Hedge Fund$696M2Mar 28, 2012
      R••••••••• I•••••••• V•••• L•••no longer reportedHedge Fund$623M2Mar 28, 2012
      R••••••••• I•••••••• M•••••• F••• I• L•••Hedge Fund$600M2Mar 28, 2012
      R••••••••• C••••••••• F••• I• L•••Hedge Fund$135M2Nov 19, 2013
      R••••••••• I•••••••• X• L•••no longer reportedHedge Fund$125M2Mar 28, 2012
      R••••••••• I•••••••• I•• L•••Hedge Fund$123M2Mar 28, 2012
      R••••••••• I•••••••• X••••• L•••Hedge Fund$109M2Mar 28, 2012
      R••••••••• C•••• P•••••••• L•••Hedge Fund$96.3M2Mar 28, 2012
      R••••••••• I•••••••• X•• L•••Hedge Fund$86.4M2Mar 28, 2012
      R••••••••• I•••••••• X•• L•••Hedge Fund$77.3M2Mar 28, 2012
      R• F••• 1• L•••Hedge Fund$74.1M4Mar 28, 2012
      R••••••••• I•••••••• X••• L•••Hedge Fund$50.9M2Mar 28, 2012
      R••••••••• I•••••••• A•••• F••• I• L•••no longer reportedHedge Fund$40.1M2Mar 28, 2012
      R• F••• 6• L•••no longer reportedHedge Fund$38.0M2Mar 28, 2012
      R••••••••• F••• P•••••••• L•••Hedge Fund$8.1M3Mar 28, 2012
      R••••••••• I•••••••• X•••• L•••Hedge Fund$7.6M2Nov 19, 2013
      R••••••••• I•••••••• X•••• L•••no longer reportedHedge Fund$4.5M2Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• D••••• H•••• · Principalcontrol
        since 03/1996 · owns less than 5%
      • W••••••••• R••••• V••••• · Principalcontrol
        since 03/1996 · owns less than 5%
      • B••••••••• D••••• H•••• · Managing Membercontrol
        since 11/2005 · owns 25% to 50% of R••••••••• I•••••••• G•••• L••
      • W••••••••• R••••• V••••• · Managing Membercontrol
        since 11/2005 · owns 25% to 50% of R••••••••• I•••••••• G•••• L••
      • K•••••• K•••• P••• · Managing Director
        since 07/2008 · owns less than 5%
      • S••••••• J•••••• ••••• N• · Chief Financial Officer & Chief Compliance Officer
        since 01/2014 · owns less than 5%
      • S•••••••• J•••• A• · Senior Managing Director
        since 07/2001 · owns less than 5%
      • W••••••• H•••• ••••• W••• · Senior Managing Director
        since 04/2011 · owns less than 5%
      Entity owners
      • R••••••••• I•••••••• G•••• L•• · 100% Owner
        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 · 16 to 15
        Dec 8, 2014 to Mar 25, 2015
      • Advisory employees · 17 to 6
        Dec 8, 2014 to Mar 25, 2015
      • Assets in custody · $4.4B to $1.9B
        Dec 8, 2014 to Mar 25, 2015
      • Employees · 30 to 12
        Dec 8, 2014 to Mar 25, 2015
      • Private funds · 12 to 11
        Dec 8, 2014 to Mar 25, 2015
      • Discretionary RAUM · $6.4B to $2.9B
        Dec 8, 2014 to Mar 25, 2015
      • RAUM · $6.4B to $2.9B
        Dec 8, 2014 to Mar 25, 2015
      • Accounts · 19 to 16
        Nov 19, 2013 to Mar 11, 2014
      • Advisory employees · 19 to 17
        Nov 19, 2013 to Mar 11, 2014
      • Assets in custody · $3.9B to $4.4B
        Nov 19, 2013 to Mar 11, 2014
      • Employees · 32 to 30
        Nov 19, 2013 to Mar 11, 2014
      • Private funds · 16 to 12
        Nov 19, 2013 to Mar 11, 2014
      • Discretionary RAUM · $5.5B to $6.4B
        Nov 19, 2013 to Mar 11, 2014
      • Non-discretionary RAUM · $4.2M to $0
        Nov 19, 2013 to Mar 11, 2014
      • RAUM · $5.5B to $6.4B
        Nov 19, 2013 to Mar 11, 2014
      • Private funds · 14 to 16
        Mar 25, 2013 to Nov 19, 2013
      • Accounts · 21 to 19
        Mar 28, 2012 to Mar 25, 2013
      • Advisory employees · unset to 19.0
        Mar 28, 2012 to Mar 25, 2013
      • Assets in custody · $5.1B to $3.9B
        Mar 28, 2012 to Mar 25, 2013
      • Employees · unset to 32.0
        Mar 28, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 2.0
        Mar 28, 2012 to Mar 25, 2013
      • Private funds · 16 to 14
        Mar 28, 2012 to Mar 25, 2013
      • Discretionary RAUM · $6.8B to $5.5B
        Mar 28, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $9.9M to $4.2M
        Mar 28, 2012 to Mar 25, 2013
      • RAUM · $6.8B to $5.5B
        Mar 28, 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