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

P••••• I••••••••• P•••••••• L•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 109592SEC 801-57954IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$24.6M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$24.6M gross assets
History
7 filings and snapshots on the tape
RAUM$24.6M as of Mar 30, 2016
Mar 28, 2012$13.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20120 then
Employees (5.A)3 as of Mar 30, 2016
Mar 27, 20133 then
Private funds3 as of Mar 30, 2016
Mar 28, 20123 then
RAUM -9.0% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$8.2MderivedRAUM 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
-9.0%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• L•••Hedge Fund$17.4M3Mar 28, 2012
      P••••• I••••••••• I•• L•••Hedge Fund$5.9M6Mar 28, 2012
      P••••• G••••• T••••••••• H•••• F•••• L•••Hedge Fund$3.0M2Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J•••••• D••• · Chief Compliance Officer, Chief Operating Officercontrol
        since 04/2004 · owns less than 5%
      • C•••• H•••••• · Limited Partnercontrol
        since 11/2011 · owns 50% to 75%
      • P••••• W•••••• C• · Limited Partnercontrol
        since 08/2000 · owns 50% to 75%
      • C•••• H•••••• · Managing Membercontrol
        since 11/2011 · owns 50% to 75% of P••••• A•••••••• L••
      • P••••• W•••••• C• · Managing Membercontrol
        since 08/2000 · owns 75% or more of P••••• A•••••••• L••
      Entity owners
      • P••••• A•••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list P••••• I••••••••• P•••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $27.0M to $24.6M
        Apr 6, 2015 to Mar 30, 2016
      • RAUM · $27.0M to $24.6M
        Apr 6, 2015 to Mar 30, 2016
      • Discretionary RAUM · $27.4M to $27.0M
        Apr 4, 2014 to Apr 6, 2015
      • RAUM · $27.4M to $27.0M
        Apr 4, 2014 to Apr 6, 2015
      • Advisory employees · 2 to 3
        Apr 18, 2013 to Apr 4, 2014
      • Organization form · Partnership to Limited Partnership
        Apr 18, 2013 to Apr 4, 2014
      • Discretionary RAUM · $13.7M to $27.4M
        Apr 18, 2013 to Apr 4, 2014
      • RAUM · $13.7M to $27.4M
        Apr 18, 2013 to Apr 4, 2014
      • Discretionary RAUM · $13.2M to $13.7M
        Mar 27, 2013 to Apr 18, 2013
      • RAUM · $13.2M to $13.7M
        Mar 27, 2013 to Apr 18, 2013
      • Advisory employees · unset to 2.0
        Jun 12, 2012 to Mar 27, 2013
      • Employees · unset to 3.0
        Jun 12, 2012 to Mar 27, 2013
      • Discretionary RAUM · $13.8M to $13.2M
        Jun 12, 2012 to Mar 27, 2013
      • RAUM · $13.8M to $13.2M
        Jun 12, 2012 to Mar 27, 2013
      • Related broker-dealer · true to false
        Jun 12, 2012 to Mar 27, 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