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.

Former SEC-registered adviser

Thomas Weisel Asset Management LLC

Former SEC-registered adviserSan Francisco, CaliforniaCRD 113466SEC 801-60537IAPD
Latest filing Dec 18, 2012
First filing on the tape Apr 2, 2012 · 5 filings
RAUM
$176M
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
8
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$176M as of Dec 18, 2012
Apr 2, 2012$176M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 8
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 18, 2012; every figure names its basis
RAUM per advisor
$176MderivedRAUM 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
$87.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 institutionsreportedItem 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)
  • 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
2reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Philip Mark Fisher · Chief Legal Officercontrol
        since 03/2007 · owns less than 5%
      • Andrew Kenneth Korngiebel · Member, Board Of Managerscontrol
        since 11/2006 · owns less than 5%
      • Christian Paul Slivon · Member, Board Of Managerscontrol
        since 11/2006 · owns less than 5%
      • Wilson Thomas Weisel · Chairman, Board Of Managerscontrol
        since 11/2006 · owns less than 5%
      • John Stephen Bushmann · Cfo
        since 11/2012 · owns less than 5%
      • Roserio Peter Guarino · Chief Compliance Officer
        since 09/2012 · owns less than 5%
      • Cynthia Perez · Chief Operating Officer
        since 01/2007 · owns less than 5%
      Entity owners
      • Thomas Weisel Partners Group, Inc · Managing Member
        direct · owns 75% or more
      • Stifel Financial Corp · Shareholder
        indirect · owns 75% or more of Thomas Weisel Partners Group Inc · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Thomas Weisel Asset Management LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 8.0
        Oct 15, 2012 to Dec 18, 2012
      • BD registered reps · unset to 3.0
        Oct 15, 2012 to Dec 18, 2012
      • Employees · unset to 8.0
        Oct 15, 2012 to Dec 18, 2012
      • State-registered IARs · unset to 1.0
        Oct 15, 2012 to Dec 18, 2012
      • Related broker-dealer · false to true
        Oct 15, 2012 to Dec 18, 2012
      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