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

L••••••• C•••••• M••••••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 108155SEC 801-57583IAPD
Latest filing Apr 16, 2014
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$124M
reported, Item 5.F
Discretionary
98%
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
26
$74.4M gross assets
History
8 filings and snapshots on the tape
RAUM$124M as of Mar 28, 2014
Mar 30, 2012$152M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2014
Mar 30, 20120 then
Employees (5.A)3 as of Mar 28, 2014
Mar 25, 20135 then
Private funds33 as of Mar 28, 2014
Mar 30, 201233 then
RAUM +7.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 16, 2014; every figure names its basis
RAUM per advisor
$124MderivedRAUM 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
$329,978derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.9%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • a related person has custody of client cash (9.B.1.a)
  • 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
376reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    19 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    H•••• G•••• P•••••••• I•••••••• T••••• L••Real Estate Fund$8.6M59Mar 30, 2012
    L••••••• I••••• • G••••• F•••• L••Real Estate Fund$8.2M26Mar 30, 2012
    M•••••• I••••• O••••••••• L••Real Estate Fund$3.1M20Mar 30, 2012
    S•••••• C•••••• D••••••••• ••••••••• L••Real Estate Fund$2.4M3Mar 30, 2012
    W•••• P•••• I•••••••• I•• L••Real Estate Fund$1.4M8Mar 30, 2012
    D••••••••• I••••• P•••••••• ••••••••• L••Real Estate Fund$409,42623Mar 30, 2012
    L••••••• I••••• F•••Real Estate Fund$14,20012Mar 30, 2012
    H•••••• A••••••••• 2•••• L••Real Estate Fund$00Mar 30, 2012
    C•••• 1• I••••••••• L••Real Estate Fund$00Mar 30, 2012
    M•••• L••Venture Capital Fund$00Mar 30, 2012
    L•• M•••••• G••••••• L••Real Estate Fund$00Mar 30, 2012
    S•••••• C•••••• D••••••••• L••Real Estate Fund$019Mar 30, 2012
    V•••• M•••••• L••Real Estate Fund$00Mar 30, 2012
    P•••••• B••••••• S••••••• L••Real Estate Fund$00Mar 30, 2012
    H•••••• A••••••••• 2•••• L••Real Estate Fund$00Mar 30, 2012
    H•••••• P••• I••••••••• L••Real Estate Fund$00Mar 30, 2012
    H•••• K• H•••• L•••••• L••Real Estate Fund$00Mar 30, 2012
    P•••• R••••••••• I••••••••• L••Real Estate Fund$00Mar 30, 2012
    H•••• G•••• I•••••••• T•••• ••••••••• L••Real Estate Fund$00Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• D•••••• H••••• · Chief Compliance Officercontrol
      since 12/2009 · 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
    • Private funds · 33 to 26
      Mar 28, 2014 to Apr 2, 2014
    • Accounts · 341 to 376
      Aug 5, 2013 to Mar 28, 2014
    • Advisory activities · 2 to 3
      Aug 5, 2013 to Mar 28, 2014
    • Employees · 5 to 3
      Aug 5, 2013 to Mar 28, 2014
    • Discretionary RAUM · $38.6M to $122M
      Aug 5, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $76.4M to $2.0M
      Aug 5, 2013 to Mar 28, 2014
    • RAUM · $115M to $124M
      Aug 5, 2013 to Mar 28, 2014
    • Accounts · 614 to 341
      Oct 1, 2012 to Mar 25, 2013
    • Advisory employees · unset to 1.0
      Oct 1, 2012 to Mar 25, 2013
    • Employees · unset to 5.0
      Oct 1, 2012 to Mar 25, 2013
    • State-registered IARs · 0 to 1
      Oct 1, 2012 to Mar 25, 2013
    • Discretionary RAUM · $55.0M to $38.6M
      Oct 1, 2012 to Mar 25, 2013
    • Non-discretionary RAUM · $96.8M to $76.4M
      Oct 1, 2012 to Mar 25, 2013
    • RAUM · $152M to $115M
      Oct 1, 2012 to Mar 25, 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
    Across the graphs

    L••••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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