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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SEC-registered adviser
P••••••• C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 9, 2015 · 16 filings
SEC status approved since Jun 30, 2015
RAUM
$309M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$309M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$309M as of Mar 31, 2026
Mar 30, 2016$262M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 30, 20160 then
Employees (5.A)4 as of Mar 31, 2026
Mar 30, 20162 then
Private funds2 as of Mar 31, 2026
Mar 30, 20162 then
RAUM +7.4% over the last fiscal year-7.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $309MderivedRAUM 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
- $103MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $302M, 2 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
- 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)
- 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
- Pooled investment vehicles$309M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $302M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• W•••••• M••••••Chartered Financial Analyst | Sausalito, Ca | Jan 25, 2001 | 25 y | 0 |
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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• A••••••• Q•• L••• | Hedge Fund | $337M | 61 | Jun 9, 2015 |
| P••••••• A•••••••• L••• | Hedge Fund | $75.5M | 40 | Jun 9, 2015 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• D•••••• W•••••• · Managing Membercontrolsince 10/2000 · owns 75% or more
- W•••••••• K•••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
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
- Assets in custody · $277M to $302MMar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $288M to $309MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $288M to $309MMar 26, 2025 to Mar 31, 2026
- RAUM · $288M to $309MMar 26, 2025 to Mar 31, 2026
- Accounts · 4 to 3Mar 29, 2024 to Mar 26, 2025
- Advisory employees · 1 to 2Mar 29, 2024 to Mar 26, 2025
- Pooled vehicle clients · 4 to 3Mar 29, 2024 to Mar 26, 2025
- Assets in custody · $413M to $277MMar 29, 2024 to Mar 26, 2025
- Employees · 3 to 4Mar 29, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $440M to $288MMar 29, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $440M to $288MMar 29, 2024 to Mar 26, 2025
- RAUM · $440M to $288MMar 29, 2024 to Mar 26, 2025
- Advisory employees · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $372M to $413MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $391M to $440MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $391M to $440MMar 31, 2023 to Mar 29, 2024
- RAUM · $391M to $440MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 2Aug 31, 2022 to Mar 31, 2023
- Assets in custody · $428M to $372MAug 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $450M to $391MAug 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $450M to $391MAug 31, 2022 to Mar 31, 2023
- RAUM · $450M to $391MAug 31, 2022 to Mar 31, 2023
- Advisory employees · 4 to 3Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $448M to $428MMar 31, 2021 to Mar 31, 2022
- Employees · 4 to 3Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $464M to $450MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $464M to $450MMar 31, 2021 to Mar 31, 2022
- RAUM · $464M to $450MMar 31, 2021 to Mar 31, 2022
- Assets in custody · $383M to $448MMar 28, 2020 to Mar 31, 2021
- Discretionary RAUM · $397M to $464MMar 28, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $397M to $464MMar 28, 2020 to Mar 31, 2021
- RAUM · $397M to $464MMar 28, 2020 to Mar 31, 2021
- Assets in custody · $269M to $383MMar 29, 2019 to Mar 28, 2020
- Discretionary RAUM · $432M to $397MMar 29, 2019 to Mar 28, 2020
- Pooled vehicle RAUM · $432M to $397MMar 29, 2019 to Mar 28, 2020
- RAUM · $432M to $397MMar 29, 2019 to Mar 28, 2020
- Advisory employees · 3 to 4Mar 30, 2018 to Mar 29, 2019
- Assets in custody · $233M to $269MMar 30, 2018 to Mar 29, 2019
- Employees · 3 to 4Mar 30, 2018 to Mar 29, 2019
Signals
4 dated events
- P••••••• C•••••• A•••••••• L•• reported RAUM $288.0M, down 34% from $439.7M (2024-03-29 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Ian Howard Nurtman (Chief Compliance Officer) no longer on Schedule A of P••••••• C•••••• A•••••••• L•• (listed 2022-03-31, absent 2022-08-31)Aug 31, 2022 · Control person left · inference
- K•••• W••••••• (Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• A•••••••• L••Aug 31, 2022 · Control person joined · fact
- P••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 9, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- (415) 331-3590reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026