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•••••• F••••• L••

Former SEC-registered adviserSan Rafael, CaliforniaCRD 121218SEC 801-69279IAPD
Latest filing Mar 15, 2013
First filing on the tape Mar 28, 2012 · 4 filings
RAUM
$20.2M
reported, Item 5.F
Discretionary
43%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.6M gross assets
History
4 filings and snapshots on the tape
RAUM$20.2M as of Mar 15, 2013
Mar 28, 2012$27.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2013
Jan 28, 20130 then
Employees (5.A)1 as of Mar 15, 2013
Jan 28, 20131 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 15, 2013; 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
$6.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
43%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
unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$2.6M, 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)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.6M for 1 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    T•• P•••••• F•••• L•••Hedge Fund$2.6M6Mar 15, 2013
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• C••••••••• J•••• · Member, Chief Compliance Officercontrol
      since 04/2002 · owns 75% or more
    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
    • Advisory employees · 0 to 1
      Jan 29, 2013 to Mar 15, 2013
    • Assets in custody · unset to 2571000.0
      Jan 29, 2013 to Mar 15, 2013
    • Custody of client assets · false to true
      Jan 29, 2013 to Mar 15, 2013
    • Employees · 0 to 1
      Jan 29, 2013 to Mar 15, 2013
    • Private funds · unset to 1
      Jan 29, 2013 to Mar 15, 2013
    • Discretionary RAUM · $8.9M to $8.6M
      Jan 29, 2013 to Mar 15, 2013
    • Non-discretionary RAUM · $9.9M to $11.6M
      Jan 29, 2013 to Mar 15, 2013
    • RAUM · $18.8M to $20.2M
      Jan 29, 2013 to Mar 15, 2013
    • Advisory activities · 4 to 3
      Jan 28, 2013 to Jan 29, 2013
    • Assets in custody · 8244899.0 to unset
      Jan 28, 2013 to Jan 29, 2013
    • Custody of client assets · true to false
      Jan 28, 2013 to Jan 29, 2013
    • Employees · 1 to 0
      Jan 28, 2013 to Jan 29, 2013
    • Discretionary RAUM · $14.1M to $8.9M
      Jan 28, 2013 to Jan 29, 2013
    • Non-discretionary RAUM · $9.5M to $9.9M
      Jan 28, 2013 to Jan 29, 2013
    • RAUM · $23.6M to $18.8M
      Jan 28, 2013 to Jan 29, 2013
    • Accounts · 4 to 3
      Mar 28, 2012 to Jan 28, 2013
    • Advisory employees · unset to 0.0
      Mar 28, 2012 to Jan 28, 2013
    • Advisory activities · 3 to 4
      Mar 28, 2012 to Jan 28, 2013
    • Assets in custody · $9.5M to $8.2M
      Mar 28, 2012 to Jan 28, 2013
    • Employees · unset to 1.0
      Mar 28, 2012 to Jan 28, 2013
    • State-registered IARs · unset to 0.0
      Mar 28, 2012 to Jan 28, 2013
    • Discretionary RAUM · $18.7M to $14.1M
      Mar 28, 2012 to Jan 28, 2013
    • Non-discretionary RAUM · $9.0M to $9.5M
      Mar 28, 2012 to Jan 28, 2013
    • RAUM · $27.7M to $23.6M
      Mar 28, 2012 to Jan 28, 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