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•••••••• P••••••• C••••••••• L••

Former SEC-registered adviserSan Jose, CaliforniaCRD 118547SEC 801-100504IAPD
Latest filing May 31, 2017
First filing on the tape Jun 30, 2015 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: $112M
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 14, 2017
Apr 1, 20165 then
Employees (5.A)5 as of Apr 14, 2017
Apr 1, 20165 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 3
Practice profile
derived from the filing of May 31, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• B•••• D•••••San Jose, Ca Dec 9, 200834 y0
E••••• A•••• D••••San Jose, CaMar 12, 201041 y1
J••• R••••• K•••••••San Jose, CaNov 29, 202335 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••••••• M•••• G••••• · Managing Member, Chief Compliance Officercontrol
    since 09/2000 · owns 10% to 25%
  • D••••• E•••••• A•••• · Member
    since 09/2000 · owns 10% to 25%
  • D•••••• D••••• B•••• · Member
    since 09/2000 · owns 10% to 25%
  • K•••••••• J•••• R••••• · Member
    since 01/2002 · owns 10% to 25%
  • W•••••••• T•••••• A••• · Member
    since 09/2000 · owns 10% to 25%
Related persons
Schedule D 7.A
  • F•• I•••••••• S•••••••• I••
    real estaten
  • P••••••••• P••• • C••••••• L••
    insurancen
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
San Jose, Ca · principal300
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • BD registered reps · 3 to 5
    Apr 17, 2017 to May 15, 2017
  • Accounts · 262.0 to unset
    Apr 1, 2016 to Apr 14, 2017
  • Advisory employees · 5 to 3
    Apr 1, 2016 to Apr 14, 2017
  • Advisory activities · 3 to 1
    Apr 1, 2016 to Apr 14, 2017
  • BD registered reps · 5 to 3
    Apr 1, 2016 to Apr 14, 2017
  • Commission compensation · true to false
    Apr 1, 2016 to Apr 14, 2017
  • Insurance-licensed employees · 0 to 1
    Apr 1, 2016 to Apr 14, 2017
  • Financial planning clients · 1-10 to unset
    Apr 1, 2016 to Apr 14, 2017
  • State-registered IARs · 5 to 3
    Apr 1, 2016 to Apr 14, 2017
  • Discretionary RAUM · 27850413.0 to unset
    Apr 1, 2016 to Apr 14, 2017
  • Non-discretionary RAUM · 84145290.0 to unset
    Apr 1, 2016 to Apr 14, 2017
  • RAUM · 111995703.0 to unset
    Apr 1, 2016 to Apr 14, 2017
  • Accounts · 277 to 262
    Jul 9, 2015 to Apr 1, 2016
  • Discretionary RAUM · $21.7M to $27.9M
    Jul 9, 2015 to Apr 1, 2016
  • Non-discretionary RAUM · $96.1M to $84.1M
    Jul 9, 2015 to Apr 1, 2016
  • RAUM · $118M to $112M
    Jul 9, 2015 to Apr 1, 2016
Signals
1 dated events
  • F•••••••• P••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
    Jun 30, 2015 · First SEC registration · fact
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