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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

F••••••• C•••••• M••••••••• L••

Former SEC-registered adviserPalo Alto, CaliforniaCRD 119980SEC 801-61052IAPD
Latest filing Mar 20, 2014
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$175M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$164M gross assets
History
3 filings and snapshots on the tape
RAUM$175M as of Mar 20, 2014
Mar 30, 2012$239M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2014
Mar 30, 20120 then
Employees (5.A)3 as of Mar 20, 2014
Mar 21, 20133 then
Private funds3 as of Mar 20, 2014
Mar 30, 20123 then
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2014; 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
$43.7MderivedRAUM 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
-11%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 pooled vehiclesreportedItem 5.G
Custody
$163M, 4 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$163M for 4 clientsreported
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
      F••••••• S•••••••• T••••••••• F••• I•• L•Venture Capital Fund$7.5M16Mar 30, 2012
      F••••••• S•••••••• T••••••••• F•••• L•••Hedge Fund$5.3M43Mar 30, 2012
      F••••••• I•••••••• P••••••• I•• L•••Venture Capital Fund$1.5M81Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• C•••••• · Managing Directorcontrol
        since 07/2003 · owns less than 5%
      • K••••••• F•••• W••••• · Managing Directorcontrol
        since 01/2002 · owns 50% to 75%
      • L••••• M•••••• L••• · Managing Director/Chief Compliance Officercontrol
        since 01/2002 · owns 50% to 75%
      • L••• W•••••••• L••• · Chief Financial Officer
        since 02/2007 · 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 · $175M to $163M
        Mar 21, 2013 to Mar 20, 2014
      • Discretionary RAUM · $197M to $175M
        Mar 21, 2013 to Mar 20, 2014
      • RAUM · $197M to $175M
        Mar 21, 2013 to Mar 20, 2014
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Mar 21, 2013
      • Assets in custody · $212M to $175M
        Mar 30, 2012 to Mar 21, 2013
      • Employees · unset to 3.0
        Mar 30, 2012 to Mar 21, 2013
      • Discretionary RAUM · $239M to $197M
        Mar 30, 2012 to Mar 21, 2013
      • RAUM · $239M to $197M
        Mar 30, 2012 to Mar 21, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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