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

T••••• W••••• C•••••• M••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 108696SEC 801-56739IAPD
Latest filing Mar 24, 2017
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$2.9M
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
9
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$3.3M gross assets
History
22 filings and snapshots on the tape
RAUM$2.9M as of Mar 24, 2017
Mar 30, 2012$512M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 30, 20120 then
Employees (5.A)9 as of Mar 24, 2017
Mar 28, 201316 then
Private funds3 as of Mar 24, 2017
Mar 30, 201210 then
RAUM -92% over the last fiscal year-82% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2017; 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
$981,888derivedRAUM 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
-92%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 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)
  • compensates non-employees for client referrals (8.G.2)
  • a related person acts as qualified custodian (9.D.2)
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
3reported
Financial planning clients
0reported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• W••••• V•••••• P••••••• L•••no longer reportedVenture Capital Fund$57.9M33Mar 30, 2012
      T••••• W••••• H••••••••• V•••••• P•••••••• L•••Venture Capital Fund$16.3M6Feb 8, 2013
      T••••••• C•••••• P••••••• 1•••• L•••no longer reportedPrivate Equity Fund$14.4M155Mar 30, 2012
      T••••• W••••• S•••••••• O••••••••• P•••••••• L•••no longer reportedPrivate Equity Fund$10.5M3Mar 30, 2012
      T•• 2••• C••••••••• F•••• L•••no longer reportedPrivate Equity Fund$5.2M103Mar 30, 2012
      V•••• ••• L• F•••• T••••• W••••• G••••• G••••• P••••••• •••••••Venture Capital Fund$2.2M18Mar 30, 2012
      V•••• •• L• F•••• T••••• W••••• G••••• G••••• P••••••• •••••••Venture Capital Fund$722,21062Mar 30, 2012
      T••••• W••••• V•••••• P••••••• E••••••• F•••• L•••no longer reportedVenture Capital Fund$486,00050Mar 30, 2012
      V•••• E••••••• F••• L• F•••• T••••• W••••• G••••• G••••• P••••••• E••••••• F••••••••Venture Capital Fund$394,32291Mar 30, 2012
      T••••• W••••• C•••••• P••••••• E••••••• F•••• L•••no longer reportedPrivate Equity Fund$214,000112Mar 30, 2012
      T••••••• C•••••• P••••••• 2•••• L•••no longer reportedPrivate Equity Fund$4,630211Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• R••••• M•••• · Chief Financial Officercontrol
        since 05/2016 · owns less than 5%
      • C••••• M••••••• C••••••• · Chief Legal Officercontrol
        since 01/2015 · owns less than 5%
      • R••••••• S••••• A•••• · Presidentcontrol
        since 03/2013 · owns less than 5%
      • W•••••• T•••••• W••••• · Chairman, Board Of Managerscontrol
        since 05/1999 · owns less than 5%
      • P••••• C•••••• · Chief Operating Officer
        since 01/2007 · owns less than 5%
      • W••••••• E••••••••• A••• · Chief Compliance Officer
        since 04/2014 · owns less than 5%
      Entity owners
      • T••••• W••••• P••••••• G•••• I•• · Sole Member
        direct · owns 75% or more
      • S••••• F•••••••• C••• · Shareholder
        indirect · owns 75% or more of T••••• W••••• P••••••• G•••• I••. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list T••••• W••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 2 to 3
        May 27, 2016 to Mar 24, 2017
      • Employees · 10 to 9
        May 27, 2016 to Mar 24, 2017
      • Private funds · 4 to 3
        May 27, 2016 to Mar 24, 2017
      • Discretionary RAUM · $38.4M to $2.9M
        May 27, 2016 to Mar 24, 2017
      • RAUM · $38.4M to $2.9M
        May 27, 2016 to Mar 24, 2017
      • Accounts · 85 to 3
        Dec 1, 2015 to Mar 14, 2016
      • Advisory employees · 7 to 1
        Dec 1, 2015 to Mar 14, 2016
      • Advisory activities · 3 to 1
        Dec 1, 2015 to Mar 14, 2016
      • BD registered reps · 0 to 2
        Dec 1, 2015 to Mar 14, 2016
      • Assets in custody · $29.7M to $0
        Dec 1, 2015 to Mar 14, 2016
      • Custody of client assets · true to false
        Dec 1, 2015 to Mar 14, 2016
      • Employees · 16 to 10
        Dec 1, 2015 to Mar 14, 2016
      • Private funds · 6 to 4
        Dec 1, 2015 to Mar 14, 2016
      • Discretionary RAUM · $344M to $38.4M
        Dec 1, 2015 to Mar 14, 2016
      • RAUM · $344M to $38.4M
        Dec 1, 2015 to Mar 14, 2016
      • Accounts · 84 to 85
        Sep 12, 2014 to Mar 17, 2015
      • Advisory employees · 2 to 7
        Sep 12, 2014 to Mar 17, 2015
      • Assets in custody · unset to 29683396.0
        Sep 12, 2014 to Mar 17, 2015
      • Custody of client assets · false to true
        Sep 12, 2014 to Mar 17, 2015
      • Employees · 2 to 16
        Sep 12, 2014 to Mar 17, 2015
      • Private funds · 7 to 6
        Sep 12, 2014 to Mar 17, 2015
      • Discretionary RAUM · $523M to $344M
        Sep 12, 2014 to Mar 17, 2015
      • RAUM · $523M to $344M
        Sep 12, 2014 to Mar 17, 2015
      • Accounts · 8 to 84
        Nov 21, 2013 to Mar 31, 2014
      • Advisory employees · 3 to 2
        Nov 21, 2013 to Mar 31, 2014
      • BD registered reps · 6 to 0
        Nov 21, 2013 to Mar 31, 2014
      • Assets in custody · 6494901.0 to unset
        Nov 21, 2013 to Mar 31, 2014
      • Employees · 14 to 2
        Nov 21, 2013 to Mar 31, 2014
      • State-registered IARs · 1 to 0
        Nov 21, 2013 to Mar 31, 2014
      • Discretionary RAUM · $203M to $523M
        Nov 21, 2013 to Mar 31, 2014
      • RAUM · $203M to $523M
        Nov 21, 2013 to Mar 31, 2014
      • Related bank · false to true
        Nov 21, 2013 to Mar 31, 2014
      • Related insurance company · true to false
        Nov 21, 2013 to Mar 31, 2014
      • Advisory employees · 6 to 3
        May 13, 2013 to Nov 19, 2013
      • Advisory activities · 1 to 3
        May 13, 2013 to Nov 19, 2013
      • BD registered reps · 4 to 6
        May 13, 2013 to Nov 19, 2013
      • Employees · 16 to 14
        May 13, 2013 to Nov 19, 2013
      • Private funds · 8 to 7
        May 13, 2013 to Nov 19, 2013
      • Accounts · 7 to 8
        Mar 28, 2013 to May 13, 2013
      • Private funds · 10 to 8
        Mar 28, 2013 to May 13, 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