DFX Intelligence

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F••••• P•••• C••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private fundswebsite

Former SEC-registered adviser, reporting $19.7M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2021-05-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $19.7M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -97%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2021-05-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -97% over the last fiscal year, to $19.7M.
2021-05-27
RAUM a year earlier $620MRAUM now $19.7M
1 published business contact point is on record, each with its source.
Contact points 1

Every filed figure, and the identifiersCRD 122459 · SEC 801-61442 · 21 filingsShow

CRD 122459SEC 801-61442First filing on the tape Nov 29, 2011, latest May 27, 2021IAPD

RAUM

$19.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$18.2M gross assets

History

21 filings and snapshots on the tape

RAUM$89.7M as of Mar 31, 2020

Mar 28, 2012$282M then

HNW client RAUM$292,782 as of Mar 31, 2020

Mar 22, 2018$134,030 then

State-registered IARs (5.B.3)0 as of Mar 31, 2020

Mar 28, 20120 then

Employees (5.A)8 as of Mar 31, 2020

Mar 19, 20137 then

Private funds5 as of Mar 31, 2020

Mar 28, 20125 then

RAUM -97% over the last fiscal year-73% a year over threeIARs 0 to 2

Practice profile

derived from the filing of May 27, 2021; every figure names its basis

RAUM per advisor: $9.9MderivedRAUM 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: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -86%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 individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody: $18.2M, 2 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$18.2M94%
Corporations and businesses$1.2M6.3%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $18.2M for 2 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 departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
F••••• P•••• L••••••••• F•••• L•	Hedge Fund	$14.9M	16	Mar 28, 2012
F••••• P•••• L••••••••• Q•••••••• F•••• L•	Hedge Fund	$5.9M	4	Mar 28, 2012
F••••• P•••• L••••••••• T•• E••••• F•••• L•	Hedge Fund	$3.3M	4	Mar 28, 2012
F••••• P•••• H••• Y•••• F•••• L•	Hedge Fund	$3.3M	10	Mar 28, 2012
F••••• P•••• G••••• C••••••••• • T••••••••• F•••• L•	Hedge Fund	$1.6M	8	Mar 28, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• J••••• A•••• · Senior Portfolio Manager And Senior Managing Directorcontrol
since 12/2004 · owns 50% to 75%
M••••••• M••••••• J•••• · Senior Portfolio Manager, Senior Managing Director And Chief Compliance Officercontrol
since 12/2004 · owns 50% to 75%

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

State-registered IARs · 0 to 2
May 10, 2021 to May 27, 2021
Accounts · 5 to 4
Feb 9, 2021 to Mar 16, 2021
Assets in custody · $21.9M to $18.2M
Feb 9, 2021 to Mar 16, 2021
Discretionary RAUM · $20.9M to $19.7M
Feb 9, 2021 to Mar 16, 2021
RAUM · $20.9M to $19.7M
Feb 9, 2021 to Mar 16, 2021
Accounts · 13 to 5
Dec 17, 2020 to Feb 9, 2021
Advisory employees · 4 to 2
Dec 17, 2020 to Feb 9, 2021
Advisory activities · 4 to 3
Dec 17, 2020 to Feb 9, 2021
Pension plan clients · 2.0 to unset
Dec 17, 2020 to Feb 9, 2021
Pooled vehicle clients · 7 to 2
Dec 17, 2020 to Feb 9, 2021
Employees · 8 to 3
Dec 17, 2020 to Feb 9, 2021
Private funds · 5 to 2
Dec 17, 2020 to Feb 9, 2021
Discretionary RAUM · $89.7M to $20.9M
Dec 17, 2020 to Feb 9, 2021
Pension RAUM · 9200260.0 to unset
Dec 17, 2020 to Feb 9, 2021
Pooled vehicle RAUM · $23.4M to $18.2M
Dec 17, 2020 to Feb 9, 2021
RAUM · $89.7M to $20.9M
Dec 17, 2020 to Feb 9, 2021
HNW clients · 2.0 to unset
Mar 31, 2020 to Nov 2, 2020
HQ city · SAN FRANCISCO to unset
Mar 31, 2020 to Nov 2, 2020
HQ state · CA to unset
Mar 31, 2020 to Nov 2, 2020
HNW RAUM · 292782.0 to unset
Mar 31, 2020 to Nov 2, 2020
Accounts · 19 to 13
Mar 28, 2019 to Mar 31, 2020
Advisory employees · 5 to 4
Mar 28, 2019 to Mar 31, 2020
Corporate clients · 1.0 to unset
Mar 28, 2019 to Mar 31, 2020
HNW clients · 1 to 2
Mar 28, 2019 to Mar 31, 2020
Pension plan clients · 4 to 2
Mar 28, 2019 to Mar 31, 2020
Pooled vehicle clients · 9 to 7
Mar 28, 2019 to Mar 31, 2020
Assets in custody · $23.4M to $21.9M
Mar 28, 2019 to Mar 31, 2020
Employees · 9 to 8
Mar 28, 2019 to Mar 31, 2020
Financial planning clients · unset to 0
Mar 28, 2019 to Mar 31, 2020
Discretionary RAUM · $620M to $89.7M
Mar 28, 2019 to Mar 31, 2020
HNW RAUM · $130,375 to $292,782
Mar 28, 2019 to Mar 31, 2020
Pension RAUM · $145M to $9.2M
Mar 28, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $215M to $23.4M
Mar 28, 2019 to Mar 31, 2020
RAUM · $620M to $89.7M
Mar 28, 2019 to Mar 31, 2020
Accounts · 26 to 19
Nov 8, 2018 to Mar 28, 2019
Pension plan clients · 5 to 4
Nov 8, 2018 to Mar 28, 2019
Pooled vehicle clients · 10 to 9
Nov 8, 2018 to Mar 28, 2019
Assets in custody · $25.9M to $23.4M
Nov 8, 2018 to Mar 28, 2019
State-registered IARs · 1 to 0
Nov 8, 2018 to Mar 28, 2019
Discretionary RAUM · $1.1B to $620M
Nov 8, 2018 to Mar 28, 2019

Signals

3 dated events

••• Locked
Nov 2, 2020 · Control person left · inference
••• Locked
Mar 31, 2020 · RAUM change · derived
••• Locked
Mar 28, 2019 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Feb 23, 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: 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