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

F•••• I••••••••• G••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 109194SEC 801-54793IAPD
Latest filing Mar 29, 2021
First filing on the tape Nov 30, 2011 · 33 filings
RAUM
$893M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
44%
$394M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$893M as of Mar 29, 2021
Jan 18, 2012$927M then
HNW client RAUM$378M as of Mar 29, 2021
Mar 26, 2018$326M then
State-registered IARs (5.B.3)5 as of Mar 29, 2021
Jan 18, 20120 then
Employees (5.A)14 as of Mar 29, 2021
Mar 26, 201317 then
Private funds: no history
RAUM +4.2% over the last fiscal year+0.4% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
RAUM per advisor
$179MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.7%derived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, publicationsreportedItem 5.G
Custody
$333M, 179 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
  • 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)
  • 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
  • Investment companies$466M52%
  • High-net-worth individuals$378M42%
  • Pension and profit-sharing plans$19.6M2.2%
  • Individuals$16.4M1.8%
  • Corporations and businesses$13.3M1.5%
Individual clients
106reported
HNW clients
179reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
616reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$333M for 179 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• J••••• M•••• · Member/Chief Executive Officercontrol
      since 07/1997 · owns 25% to 50%
    • D••••••• M•••••• R•••••• · Membercontrol
      since 07/1997 · owns 10% to 25%
    • M•••••• S••• · Member/Chief Compliance Officercontrol
      since 10/2015 · owns 5% to 10%
    • S••••• J••••••• C•••••• · Member/Chief Operating Officercontrol
      since 01/2014 · owns 5% to 10%
    • C••••• T•••••• F•••••• · Member
      since 07/1997 · owns 5% to 10%
    • E•••••• J•••••••• D•••• · Member
      since 03/2017 · owns 10% to 25%
    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 · 622 to 616
      Jun 25, 2020 to Mar 29, 2021
    • Corporate clients · 6 to 4
      Jun 25, 2020 to Mar 29, 2021
    • HNW clients · 166 to 179
      Jun 25, 2020 to Mar 29, 2021
    • Individual clients · 117 to 106
      Jun 25, 2020 to Mar 29, 2021
    • Pension plan clients · 10 to 5
      Jun 25, 2020 to Mar 29, 2021
    • Assets in custody · $312M to $333M
      Jun 25, 2020 to Mar 29, 2021
    • Employees · 15 to 14
      Jun 25, 2020 to Mar 29, 2021
    • Discretionary RAUM · $858M to $893M
      Jun 25, 2020 to Mar 29, 2021
    • HNW RAUM · $319M to $378M
      Jun 25, 2020 to Mar 29, 2021
    • Individual RAUM · $18.0M to $16.4M
      Jun 25, 2020 to Mar 29, 2021
    • Pension RAUM · $33.5M to $19.6M
      Jun 25, 2020 to Mar 29, 2021
    • RAUM · $858M to $893M
      Jun 25, 2020 to Mar 29, 2021
    • Accounts · 724 to 622
      Sep 16, 2019 to Mar 30, 2020
    • Advisory employees · 8 to 5
      Sep 16, 2019 to Mar 30, 2020
    • Charity clients · 1.0 to unset
      Sep 16, 2019 to Mar 30, 2020
    • Corporate clients · 8 to 6
      Sep 16, 2019 to Mar 30, 2020
    • HNW clients · 212 to 166
      Sep 16, 2019 to Mar 30, 2020
    • Individual clients · 112 to 117
      Sep 16, 2019 to Mar 30, 2020
    • Pension plan clients · 11 to 10
      Sep 16, 2019 to Mar 30, 2020
    • Assets in custody · $290M to $312M
      Sep 16, 2019 to Mar 30, 2020
    • Employees · 18 to 15
      Sep 16, 2019 to Mar 30, 2020
    • State-registered IARs · 8 to 5
      Sep 16, 2019 to Mar 30, 2020
    • Discretionary RAUM · $810M to $858M
      Sep 16, 2019 to Mar 30, 2020
    • HNW RAUM · $338M to $319M
      Sep 16, 2019 to Mar 30, 2020
    • Individual RAUM · $14.3M to $18.0M
      Sep 16, 2019 to Mar 30, 2020
    • Pension RAUM · $36.3M to $33.5M
      Sep 16, 2019 to Mar 30, 2020
    • RAUM · $810M to $858M
      Sep 16, 2019 to Mar 30, 2020
    • Accounts · 678 to 724
      Jan 2, 2019 to Mar 29, 2019
    • Advisory employees · 9 to 8
      Jan 2, 2019 to Mar 29, 2019
    • HNW clients · 192 to 212
      Jan 2, 2019 to Mar 29, 2019
    • Individual clients · 119 to 112
      Jan 2, 2019 to Mar 29, 2019
    • Pension plan clients · 12 to 11
      Jan 2, 2019 to Mar 29, 2019
    • Assets in custody · $261M to $290M
      Jan 2, 2019 to Mar 29, 2019
    • Employees · 17 to 18
      Jan 2, 2019 to Mar 29, 2019
    • State-registered IARs · 6 to 8
      Jan 2, 2019 to Mar 29, 2019
    • Discretionary RAUM · $882M to $810M
      Jan 2, 2019 to Mar 29, 2019
    • HNW RAUM · $326M to $338M
      Jan 2, 2019 to Mar 29, 2019
    • Individual RAUM · $15.2M to $14.3M
      Jan 2, 2019 to Mar 29, 2019
    • Pension RAUM · $43.7M to $36.3M
      Jan 2, 2019 to Mar 29, 2019
    • RAUM · $882M to $810M
      Jan 2, 2019 to Mar 29, 2019
    Signals
    7 dated events
    • D••••• V••••• C••••• left F•••• I••••••••• G••••• L•• for O•• C•••••• M••••••••• L•• (registered 2022-05-02)
      May 4, 2022 · Advisor changed firm · fact
    • R•••• R••••• N•••• left F•••• I••••••••• G••••• L•• for O•• C•••••• M••••••••• L•• (registered 2022-05-02)
      May 3, 2022 · Advisor changed firm · fact
    • M••••• R•••••• D•••••• left F•••• I••••••••• G••••• L•• for O•• C•••••• M••••••••• L•• (registered 2022-05-02)
      May 3, 2022 · Advisor changed firm · fact
    • J•••• M•••• B•••• left F•••• I••••••••• G••••• L•• for O•• C•••••• M••••••••• L•• (registered 2022-05-02)
      May 3, 2022 · Advisor changed firm · fact
    • S••• M••••• left F•••• I••••••••• G••••• L•• for O•• C•••••• M••••••••• L•• (registered 2022-05-02)
      May 3, 2022 · Advisor changed firm · fact
    • F•••• I••••••••• G••••• L••'s advisors moved to O•• C•••••• M••••••••• L•• (San Francisco, CA): 5 of 5 registered, a day apart
      May 3, 2022 · Firm absorbed (people side) · derived
    • Walter Bernard Burke (Member) no longer on Schedule A of F•••• I••••••••• G••••• L•• (listed 2019-09-16, absent 2020-03-30)
      Mar 30, 2020 · Control person left · inference
    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