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

T••••• W••••• G••••• G••••• P••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 120446SEC 801-61276IAPD
Latest filing Jul 6, 2018
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$304M
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
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$305M gross assets
History
19 filings and snapshots on the tape
RAUM$304M as of Mar 27, 2018
Mar 30, 2012$905M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 28, 20131 then
Employees (5.A)10 as of Mar 27, 2018
Mar 28, 201314 then
Private funds5 as of Mar 27, 2018
Mar 30, 20127 then
RAUM -11% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 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
$60.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
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 vehicles, 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
  • 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)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$304M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
0reported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• I• •• • R•••••• L•••no longer reportedPrivate Equity Fund$61.8M2Mar 30, 2012
      T••••• W••••• G••••• G••••• P••••••• I• ••no longer reportedPrivate Equity Fund$56.0M11Mar 30, 2012
      V•••• I••••• L• ••••• T••••• W••••• G••••• G••••• P••••••• I• ••• L••••Venture Capital Fund$18.8M10Mar 30, 2012
      V•••• I• P••••••• ••• L• ••••• T••••• W••••• G••••• G••••• P••••••• I• P••••••• ••• L••••Venture Capital Fund$7.0M2Mar 30, 2012
      T•••• • R•••• L•••no longer reportedPrivate Equity Fund$1.2M2Apr 30, 2014
      T•••• I• •• • R••••• •••••••• L•••no longer reportedPrivate Equity Fund$12,9651Apr 30, 2014
      T•••• • R••• •••••••• L•••no longer reportedPrivate Equity Fund$01Apr 30, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• R••••• M•••• · Chief Financial Officercontrol
        since 05/2016 · owns less than 5%
      • C••••• M••••••• C••••••• · Chief Legal Officercontrol
        since 01/2015 · owns less than 5%
      • P••••• C••••••• T••••• · Chief Operating Officercontrol
        since 01/2007 · owns less than 5%
      • R••••••• S••••• A•••• · Presidentcontrol
        since 03/2014 · owns less than 5%
      • W••••••• E••••••••• A••• · Chief Compliance Officer
        since 04/2014 · owns less than 5%
      Entity owners
      • T••••• W••••• C•••••• M••••••••• L•• · Managing Member
        direct · owns 75% or more
      • S••••• F•••••••• C••• · Shareholder
        indirect · owns 75% or more of T••••• W••••• P••••••• G•••• I••• · public reporting company
      • T••••• W••••• P••••••• G•••• I••• · Shareholder
        indirect · owns 75% or more of T••••• W••••• C•••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list T••••• W••••• G••••• G••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Corporate clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • HNW clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Individual clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 24, 2017 to Mar 27, 2018
      • Employees · 9 to 10
        Mar 24, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Discretionary RAUM · $343M to $304M
        Mar 24, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Pension RAUM · unset to 0.0
        Mar 24, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 304440004.0
        Mar 24, 2017 to Mar 27, 2018
      • RAUM · $343M to $304M
        Mar 24, 2017 to Mar 27, 2018
      • Employees · 12 to 9
        May 27, 2016 to Mar 24, 2017
      • Discretionary RAUM · $376M to $343M
        May 27, 2016 to Mar 24, 2017
      • RAUM · $376M to $343M
        May 27, 2016 to Mar 24, 2017
      • Accounts · 8 to 5
        Aug 24, 2015 to Mar 14, 2016
      • Advisory employees · 5 to 1
        Aug 24, 2015 to Mar 14, 2016
      • Advisory activities · 3 to 2
        Aug 24, 2015 to Mar 14, 2016
      • BD registered reps · 0 to 3
        Aug 24, 2015 to Mar 14, 2016
      • Assets in custody · $432M to $0
        Aug 24, 2015 to Mar 14, 2016
      • Custody of client assets · true to false
        Aug 24, 2015 to Mar 14, 2016
      • Employees · 14 to 12
        Aug 24, 2015 to Mar 14, 2016
      • Private funds · 10 to 5
        Aug 24, 2015 to Mar 14, 2016
      • Discretionary RAUM · $470M to $376M
        Aug 24, 2015 to Mar 14, 2016
      • RAUM · $470M to $376M
        Aug 24, 2015 to Mar 14, 2016
      • Accounts · 9 to 8
        Jan 6, 2015 to Mar 17, 2015
      • Advisory employees · 6 to 5
        Jan 6, 2015 to Mar 17, 2015
      • Assets in custody · unset to 431586486.0
        Jan 6, 2015 to Mar 17, 2015
      • Custody of client assets · false to true
        Jan 6, 2015 to Mar 17, 2015
      • Employees · 6 to 14
        Jan 6, 2015 to Mar 17, 2015
      • Discretionary RAUM · $331M to $470M
        Jan 6, 2015 to Mar 17, 2015
      • RAUM · $331M to $470M
        Jan 6, 2015 to Mar 17, 2015
      • Private funds · 7 to 10
        Apr 28, 2014 to Apr 30, 2014
      • Accounts · 7 to 9
        May 13, 2013 to Mar 31, 2014
      • BD registered reps · 3 to 0
        May 13, 2013 to Mar 31, 2014
      • Assets in custody · 442320314.0 to unset
        May 13, 2013 to Mar 31, 2014
      • Employees · 14 to 6
        May 13, 2013 to Mar 31, 2014
      • State-registered IARs · 1 to 0
        May 13, 2013 to Mar 31, 2014
      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