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

P•••••• P•••••••• L•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 120230SEC 801-71207IAPD
Latest filing Dec 3, 2015
First filing on the tape Mar 19, 2012 · 7 filings
RAUM
$9.8M
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
2
2 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$106M as of Mar 30, 2015
Mar 19, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 19, 20120 then
Employees (5.A)4 as of Mar 30, 2015
Mar 11, 20135 then
Private funds3 as of Mar 30, 2015
Mar 19, 20123 then
RAUM -92% over the last fiscal year-58% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Dec 3, 2015; every figure names its basis
RAUM per advisor
$9.8MderivedRAUM 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
$4.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-18%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Custody
$4.5M, 1 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)
  • 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)
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
n/areported
Wrap fee programs
noreported
Custody of client assets
$4.5M for 1 clientsreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    A••••• F••• L•••Hedge Fund$5.2M1Mar 19, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• M••••••• D••• · Chief Investment Officercontrol
      since 02/2002 · owns 75% or more
    • S•••••• J••••••••• E•••••••• · Vp, Chief Compliance Officercontrol
      since 11/2015 · owns less than 5%
    • C•••••• S••• J•••• P•••• · T••••••control
      since 08/1985 · owns 75% or more of J••• P. C•••••• 1985 Trust D•••• A••••• 21, 1985
    Entity owners
    • J••••• L•• · General Partner
      direct · owns less than 5%
    • C•••••• F••••• P••••••• · Member
      indirect · owns 75% or more of C•••••• I••••••••• L••
    • C•••••• I••••••••• L•• · Member
      indirect · owns 75% or more of J••••• L••
    • J••• P• C••••••• T•••••• U•••• T•• J••• P• C•••••• 1••• T•••• D•••• A••••• 2•• 1••• · Shareholder
      indirect · owns 50% to 75% of C•••••• F••••• P•••••••
    Related persons
    Schedule D 7.A
    • C•••••• A••••••• L•• M••••• G•••• T•••• G••••• O••••••••• T••••
      bankpooled vehicle sponsorn
    • C•••••• A••••••• T••••
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    • C•••••• A••••• F•••• F•••• L•
      bankpooled vehicle sponsorn
    • C•••••• A••••• F•••• M••••• F•••• L••
      bankpooled vehicle sponsorn
    • C•••••• C•••••• M••••••••• ••• L••
      bankpooled vehicle sponsorn
    • C•••••• F•••••••• S••••••• L••
      broker-dealern
    • C•••••• G••••• O••••••••• F••• L•
      bankpooled vehicle sponsorn
    • C•••••• I••••••••• T••••
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    • C•••••• I••••••••• L••
      investment advisern
    • C•••••• W••••• M••••••••• L••
      investment advisernRAUM $5.5B
    Offices
    Schedule D 1.F, the 25 largest
    • Naperville, IL
    • New York, NY
    What changed
    consecutive filings, newest first
    • Accounts · 7 to 2
      Mar 30, 2015 to Oct 30, 2015
    • Advisory employees · 4 to 2
      Mar 30, 2015 to Oct 30, 2015
    • Advisory activities · 2 to 1
      Mar 30, 2015 to Oct 30, 2015
    • Assets in custody · $19.0M to $4.5M
      Mar 30, 2015 to Oct 30, 2015
    • Employees · 4 to 2
      Mar 30, 2015 to Oct 30, 2015
    • Insurance-licensed employees · 0 to 1
      Mar 30, 2015 to Oct 30, 2015
    • State-registered IARs · 0 to 1
      Mar 30, 2015 to Oct 30, 2015
    • Private funds · 3 to unset
      Mar 30, 2015 to Oct 30, 2015
    • Discretionary RAUM · $106M to $9.8M
      Mar 30, 2015 to Oct 30, 2015
    • RAUM · $106M to $9.8M
      Mar 30, 2015 to Oct 30, 2015
    • Related adviser · false to true
      Mar 30, 2015 to Oct 30, 2015
    • Related bank · false to true
      Mar 30, 2015 to Oct 30, 2015
    • Related broker-dealer · false to true
      Mar 30, 2015 to Oct 30, 2015
    • Advisory employees · 5 to 4
      Mar 13, 2014 to Mar 30, 2015
    • Assets in custody · $19.5M to $19.0M
      Mar 13, 2014 to Mar 30, 2015
    • Employees · 5 to 4
      Mar 13, 2014 to Mar 30, 2015
    • Financial planning clients · 0 to unset
      Mar 13, 2014 to Mar 30, 2015
    • Organization form · Other (specify) to Limited Partnership
      Mar 13, 2014 to Mar 30, 2015
    • Discretionary RAUM · $129M to $106M
      Mar 13, 2014 to Mar 30, 2015
    • RAUM · $129M to $106M
      Mar 13, 2014 to Mar 30, 2015
    • Accounts · 6 to 7
      Mar 11, 2013 to Mar 13, 2014
    • Assets in custody · $15.3M to $19.5M
      Mar 11, 2013 to Mar 13, 2014
    • Discretionary RAUM · $138M to $129M
      Mar 11, 2013 to Mar 13, 2014
    • RAUM · $138M to $129M
      Mar 11, 2013 to Mar 13, 2014
    • Advisory employees · unset to 5.0
      Mar 19, 2012 to Mar 11, 2013
    • Assets in custody · $15.1M to $15.3M
      Mar 19, 2012 to Mar 11, 2013
    • Employees · unset to 5.0
      Mar 19, 2012 to Mar 11, 2013
    • Discretionary RAUM · $128M to $138M
      Mar 19, 2012 to Mar 11, 2013
    • RAUM · $128M to $138M
      Mar 19, 2012 to Mar 11, 2013
    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