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••••••
Asset manager (funds and pooled vehicles)San Francisco, CaliforniaCRD 121168SEC 801-61603websiteIAPD
Legal name 3••• M••••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Nov 15, 2002
RAUM
$521M
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
9
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
5
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$521M as of Mar 20, 2026
Mar 30, 2012$4.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Mar 20, 2026
Mar 27, 201365 then
Private funds5 as of Mar 20, 2026
Mar 30, 201232 then
RAUM -3.4% over the last fiscal year-9.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; 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
- $74.4MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.4%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-based, otherreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$521M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
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
Private funds
35 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• C•••••• P••••••• I•• L• | Private Equity Fund | $512M | 104 | Mar 30, 2012 |
| C•• I••••••••• B•••• • P••• C•••••• H••••••• I•• L•no longer reported | Private Equity Fund | $71.0M | 6 | Mar 30, 2012 |
| P••• C•••••• P••••••• V••• L•no longer reported | Private Equity Fund | $56.2M | 43 | Mar 30, 2012 |
| P••• R•••••• F••• I•• L•no longer reported | Private Equity Fund | $54.4M | 109 | Mar 30, 2012 |
| K•• I••••••••• H••••••• I•• • P•• S••no longer reported | Private Equity Fund | $43.3M | 3 | Mar 30, 2012 |
| C•• I••••••••• P•••••••• G•no longer reported | Private Equity Fund | $33.1M | 2 | Mar 30, 2012 |
| P••• C•••••• E•••• H•••••••• L••no longer reported | Private Equity Fund | $27.6M | 4 | Mar 30, 2012 |
| K•• I••••••••• H••••••• I•• • B••••• S••no longer reported | Private Equity Fund | $26.6M | 6 | Mar 30, 2012 |
| C•• I••••••••• P••••••• I•• G•no longer reported | Private Equity Fund | $20.8M | 2 | Mar 30, 2012 |
| P••• F••••••• H•••••••• L•no longer reported | Private Equity Fund | $19.8M | 6 | Mar 30, 2012 |
| P••• C•••••• P••••••• V•••••• L• | Private Equity Fund | $19.3M | 46 | Mar 30, 2012 |
| P••• C•••••• T••• S••••• P••••••• L• | Private Equity Fund | $14.2M | 2 | Mar 30, 2012 |
| P••• C•••••• P••••••• X• L•no longer reported | Private Equity Fund | $13.9M | 12 | Mar 27, 2013 |
| C•• I••••••••• B•••• • P••• C•••••• H•••••••• L•no longer reported | Private Equity Fund | $12.0M | 4 | Mar 30, 2012 |
| P••• C•••••• P••••••• V•••••• L• | Private Equity Fund | $10.4M | 60 | Mar 30, 2012 |
| P••• A••••••••• I•• L•no longer reported | Private Equity Fund | $10.2M | 76 | Mar 30, 2012 |
| P••• C•••••• 2••••• H•••••••• L•no longer reported | Private Equity Fund | $9.7M | 5 | Mar 30, 2012 |
| P••• R•••••• F•••• L•no longer reported | Private Equity Fund | $6.4M | 82 | Mar 30, 2012 |
| P•• S•••• H••••••• L••no longer reported | Private Equity Fund | $4.9M | 6 | Mar 30, 2012 |
| D••••••••• 2••••• H•••••••• L••no longer reported | Private Equity Fund | $3.5M | 3 | Mar 30, 2012 |
| P••• C•••••• H•••••••• L••no longer reported | Private Equity Fund | $2.9M | 2 | Mar 30, 2012 |
| P••• C•••••• P••••••• V••••• L•no longer reported | Private Equity Fund | $2.4M | 2 | Mar 30, 2012 |
| P••• C•••••• H••••••••• I••• L•no longer reported | Private Equity Fund | $2.2M | 42 | Mar 30, 2012 |
| P••• C•••••• P••••••• V•••••• L• | Private Equity Fund | $2.2M | 3 | Mar 30, 2012 |
| C••••••••• H•••••••• L••no longer reported | Private Equity Fund | $1.6M | 2 | Mar 30, 2012 |
| P••• C•••••• I• H•••••••• L••no longer reported | Private Equity Fund | $1.5M | 3 | Mar 30, 2012 |
| P••• C•••••• P••••••• V•• L•no longer reported | Private Equity Fund | $1.4M | 19 | Mar 30, 2012 |
| P••• C•••••• P••••••• X• E••••••• M••••••• L•no longer reported | Private Equity Fund | $1.3M | 4 | Mar 27, 2013 |
| P••• R• H••••••• L••no longer reported | Private Equity Fund | $542,760 | 4 | Mar 30, 2012 |
| P••• C•••••• H••••••••• I••••• L•no longer reported | Private Equity Fund | $286,112 | 5 | Mar 30, 2012 |
| P••• V• A••••••••• L•no longer reported | Private Equity Fund | $234,746 | 20 | Mar 30, 2012 |
| P••• R•••••• A••••••••• I•• L•no longer reported | Private Equity Fund | $69,849 | 30 | Mar 30, 2012 |
| P••• C•••••• P••••••• V• L•no longer reported | Private Equity Fund | $31,936 | 11 | Mar 30, 2012 |
| G•• H•••••••• L••no longer reported | Private Equity Fund | $1,085 | 3 | Mar 30, 2012 |
| P••• C•••••• T••• S••••• E• P•••••••• L•••no longer reported | Private Equity Fund | $0 | 2 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• R••••••• C••• · Chief Executive Officer, Chief Financial Officer, President, Chief Compliance Officer, Secretary And Directorcontrolsince 03/2018 · owns less than 5%
- D• W••••• D••••• H• · Elected Managercontrolsince 09/2004 · owns F of P••• C•••••• A•••••••• L•••••
- J•••••• P•••••• J• · Elected Managercontrolsince 09/2004 · owns F of P••• C•••••• A•••••••• L•••••
- M•••••••• D•••••• P•••••• · Elected Managercontrolsince 01/2013 · owns F of P••• C•••••• A•••••••• L•••••
- R•••• G•• · Elected Managercontrolsince 09/2004 · owns F of P••• C•••••• A•••••••• L•••••
- S•••••• R••••••• C••• · Elected Managercontrolsince 10/2014 · owns F of P••• C•••••• A•••••••• L•••••
- S••••• E•••••• L••••• · Elected Managercontrolsince 01/2013 · owns F of P••• C•••••• A•••••••• L•••••
- W•••• D•••••• A• · Elected Managercontrolsince 10/2014 · owns F of P••• C•••••• A•••••••• L•••••
Entity owners
- P••• C•••••• A•••••••• L••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••• C•••••• A•••••••• L••investment advisery
- P••• C•••••• I• M••••••••• L•••pooled vehicle sponsorn
- P••• C•••••• V••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Paris, France1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $539M to $521MMar 21, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $539M to $521MMar 21, 2025 to Mar 20, 2026
- RAUM · $539M to $521MMar 21, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 22, 2024 to Mar 21, 2025
- Discretionary RAUM · $558M to $539MMar 22, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $558M to $539MMar 22, 2024 to Mar 21, 2025
- RAUM · $558M to $539MMar 22, 2024 to Mar 21, 2025
- Discretionary RAUM · $695M to $558MMar 15, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $695M to $558MMar 15, 2023 to Mar 22, 2024
- RAUM · $695M to $558MMar 15, 2023 to Mar 22, 2024
- Assets in custody · $918M to $0Mar 24, 2022 to Mar 15, 2023
- Custody of client assets · true to falseMar 24, 2022 to Mar 15, 2023
- Discretionary RAUM · $918M to $695MMar 24, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $918M to $695MMar 24, 2022 to Mar 15, 2023
- RAUM · $918M to $695MMar 24, 2022 to Mar 15, 2023
- Accounts · 9 to 7Mar 30, 2021 to Mar 24, 2022
- Pooled vehicle clients · 9 to 7Mar 30, 2021 to Mar 24, 2022
- Assets in custody · $0 to $918MMar 30, 2021 to Mar 24, 2022
- Private funds · 7 to 5Mar 30, 2021 to Mar 24, 2022
- Discretionary RAUM · $909M to $918MMar 30, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $909M to $918MMar 30, 2021 to Mar 24, 2022
- RAUM · $909M to $918MMar 30, 2021 to Mar 24, 2022
- Discretionary RAUM · $961M to $909MMar 23, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $961M to $909MMar 23, 2020 to Mar 30, 2021
- RAUM · $961M to $909MMar 23, 2020 to Mar 30, 2021
- Related bank · true to falseMar 23, 2020 to Mar 30, 2021
- Employees · 11 to 9May 29, 2019 to Mar 23, 2020
- Discretionary RAUM · $990M to $961MMay 29, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $990M to $961MMay 29, 2019 to Mar 23, 2020
- RAUM · $990M to $961MMay 29, 2019 to Mar 23, 2020
- Accounts · 12 to 9Jan 8, 2019 to Mar 27, 2019
- Pooled vehicle clients · 12 to 9Jan 8, 2019 to Mar 27, 2019
- Assets in custody · $4.7M to $0Jan 8, 2019 to Mar 27, 2019
- Employees · 13 to 11Jan 8, 2019 to Mar 27, 2019
- Private funds · 10 to 7Jan 8, 2019 to Mar 27, 2019
- Discretionary RAUM · $1.1B to $990MJan 8, 2019 to Mar 27, 2019
- Pooled vehicle RAUM · $1.1B to $990MJan 8, 2019 to Mar 27, 2019
- RAUM · $1.1B to $990MJan 8, 2019 to Mar 27, 2019
- Accounts · 18 to 12Mar 1, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Mar 1, 2017 to Mar 28, 2018
Signals
2 dated events
- S•••• G••••• (Elected Manager) no longer on Schedule A of P••• C•••••• (listed 2019-01-08, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- B•••• S••••••• (Elected Manager) no longer on Schedule A of P••• C•••••• (listed 2019-01-08, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P••• C•••••• · Independent Sponsorsshared crd · capital_provider
- P••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/24263reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-283-4300reportedpublic record, Form ADV, Mar 20, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026