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

A••••• C•••••• L••

Former SEC-registered adviserOrinda, CaliforniaCRD 118397SEC 801-65340IAPD
Latest filing Mar 28, 2018
First filing on the tape Mar 30, 2012 · 21 filings
RAUM
$1.5B
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
35
22 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$370M gross assets
History
21 filings and snapshots on the tape
RAUM$1.5B as of Mar 23, 2018
Mar 30, 2012$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2018
Mar 30, 20120 then
Employees (5.A)35 as of Mar 23, 2018
Mar 27, 201332 then
Private funds2 as of Mar 23, 2018
Mar 30, 20129 then
RAUM -63% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2018; 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
$303MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-63%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 vehicles, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Sovereign wealth funds$650M43%
  • Pooled investment vehicles$643M43%
  • Investment companies$220M15%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• P••••••• F••• B••• L•••Hedge Fund$206M4Mar 30, 2012
      A••••• P•••• F•••• L•••Hedge Fund$164M1Aug 24, 2015
      A••••• M•• C••••• F••• L••••••no longer reportedHedge Fund$154M6Feb 4, 2015
      A••••• E•••• F••• L•no longer reportedHedge Fund$126M2Aug 24, 2015
      A••••• P••••••• F••• I• L•••Hedge Fund$116M6Mar 30, 2012
      S••••• G•••• A••••••••• S••••••••• P•• L••••••• A••••• I• R•••••• O• I•• G••• I••• C•••no longer reportedHedge Fund$60.5M1Mar 30, 2012
      A••••• C• M••••• F•••• L•••no longer reportedHedge Fund$43.2M6Mar 30, 2012
      P••••• A••••• E••••••• L•••no longer reportedHedge Fund$30.5M3Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• M••••••• P••• · Managing Membercontrol
        since 04/1999 · owns 75% or more
      • S•••••• R•••••• A••••• · Director Of Operations And Chief Compliance Officercontrol
        since 01/2011 · owns less than 5%
      • S•••••• B•••••••• D•••• · Chief Operating Officer And Chief Financial Officercontrol
        since 09/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list A••••• C•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA23 employees
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Dec 15, 2017 to Mar 23, 2018
      • Charity clients · unset to 0.0
        Dec 15, 2017 to Mar 23, 2018
      • Corporate clients · unset to 0.0
        Dec 15, 2017 to Mar 23, 2018
      • HNW clients · unset to 0.0
        Dec 15, 2017 to Mar 23, 2018
      • Individual clients · unset to 0.0
        Dec 15, 2017 to Mar 23, 2018
      • Pension plan clients · unset to 0.0
        Dec 15, 2017 to Mar 23, 2018
      • Pooled vehicle clients · 4 to 3
        Dec 15, 2017 to Mar 23, 2018
      • Employees · 34 to 35
        Dec 15, 2017 to Mar 23, 2018
      • Other offices · 0 to 1
        Dec 15, 2017 to Mar 23, 2018
      • Private funds · 3 to 2
        Dec 15, 2017 to Mar 23, 2018
      • Discretionary RAUM · $1.6B to $1.5B
        Dec 15, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · $794M to $643M
        Dec 15, 2017 to Mar 23, 2018
      • RAUM · $1.6B to $1.5B
        Dec 15, 2017 to Mar 23, 2018
      • Accounts · 17 to 6
        Mar 24, 2017 to Dec 15, 2017
      • Pooled vehicle clients · unset to 4.0
        Mar 24, 2017 to Dec 15, 2017
      • Assets in custody · $1.4B to $0
        Mar 24, 2017 to Dec 15, 2017
      • Custody of client assets · true to false
        Mar 24, 2017 to Dec 15, 2017
      • Other offices · unset to 0.0
        Mar 24, 2017 to Dec 15, 2017
      • Private funds · 10 to 3
        Mar 24, 2017 to Dec 15, 2017
      • Discretionary RAUM · $4.0B to $1.6B
        Mar 24, 2017 to Dec 15, 2017
      • Pooled vehicle RAUM · unset to 794323521.0
        Mar 24, 2017 to Dec 15, 2017
      • RAUM · $4.0B to $1.6B
        Mar 24, 2017 to Dec 15, 2017
      • Related bank · false to true
        Mar 24, 2017 to Dec 15, 2017
      • Accounts · 20 to 17
        Apr 7, 2016 to Mar 24, 2017
      • Advisory employees · 24 to 22
        Apr 7, 2016 to Mar 24, 2017
      • Assets in custody · $2.0B to $1.4B
        Apr 7, 2016 to Mar 24, 2017
      • Employees · 35 to 34
        Apr 7, 2016 to Mar 24, 2017
      • Private funds · 11 to 10
        Apr 7, 2016 to Mar 24, 2017
      • Discretionary RAUM · $5.9B to $4.0B
        Apr 7, 2016 to Mar 24, 2017
      • RAUM · $5.9B to $4.0B
        Apr 7, 2016 to Mar 24, 2017
      • Related adviser · false to true
        Apr 7, 2016 to Mar 24, 2017
      • Accounts · 18 to 20
        Aug 24, 2015 to Mar 21, 2016
      • Assets in custody · $2.2B to $2.0B
        Aug 24, 2015 to Mar 21, 2016
      • Employees · 36 to 35
        Aug 24, 2015 to Mar 21, 2016
      • Discretionary RAUM · $5.4B to $5.9B
        Aug 24, 2015 to Mar 21, 2016
      • RAUM · $5.4B to $5.9B
        Aug 24, 2015 to Mar 21, 2016
      • Private funds · 9 to 11
        Mar 4, 2015 to Aug 24, 2015
      • Accounts · 16 to 18
        Feb 4, 2015 to Mar 4, 2015
      • Advisory activities · 2 to 3
        Feb 4, 2015 to Mar 4, 2015
      • Assets in custody · $1.9B to $2.2B
        Feb 4, 2015 to Mar 4, 2015
      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