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••••••• A••••••• L••
Latest filing May 19, 2025
First filing on the tape Dec 23, 2011 · 54 filings
SEC status approved since May 3, 2004
RAUM
$747M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$744M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$747M as of May 19, 2025
Apr 30, 2012$181M then
HNW client RAUM$717M as of May 19, 2025
Mar 2, 2018$355M then
State-registered IARs (5.B.3)4 as of May 19, 2025
Apr 30, 20120 then
Employees (5.A)9 as of May 19, 2025
Mar 22, 20138 then
Private funds: no history
RAUM +17% over the last fiscal year+8.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 19, 2025; every figure names its basis
- RAUM per advisor
- $187MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $804,464derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $243M, 81 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
- High-net-worth individuals$717M96%
- Individuals$27.4M3.7%
- Corporations and businesses$2.5M0.3%
- Individual clients
- 48reported
- HNW clients
- 169reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 928reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $243M for 81 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
Left, latest
- C•••••• O••• B••••••• to N•••••••• P•••••••• L••Jul 17, 2025 · RIA to RIA
- B••••••• D••••• S••••••• to N•••••••• P•••••••• L••Jul 17, 2025 · RIA to RIA
- R••• R•••• to N•••••••• P•••••••• L••Jul 17, 2025 · RIA to RIA
- A••••• E•••• G•••••• to N•••••••• P•••••••• L••Jul 17, 2025 · RIA to RIA
- J••••• F••••• to L•••Aug 1, 2024 · RIA to RIA
- N••••• D••••• M••••• to W••••• W••••• P•••••••• L••Feb 3, 2020 · RIA to RIA
- C•••••••• N••••• K••••••• to C•••••• W•••••Jul 22, 2019 · RIA to RIA
- D•••• G••••• B••• to B••••••• J•••• L••Oct 6, 2017 · Other
- P••• L•••••• P•••••• to E••••••• C•••••• M••••••••• L••Mar 25, 2016 · Other
- K•••••• D• F•••••• to B••••••• J•••• L••Jan 4, 2016 · Other
- J••••• C•••••••• S••••••• to H•••••••• I••••••••• A•••••••• I•••Jan 13, 2010 · Other
Joined, latest
- J••••• F••••• from M••••• S••••••Nov 28, 2023 · Wirehouse to independent RIA
- C•••••••• N••••• K••••••• from S••• W••••• L••Nov 14, 2018 · RIA to RIA
- C•••••• O••• B••••••• from P••••••• C•••••• A•••••••• L••Sep 17, 2018 · Other
- D•••• G••••• B••• from B••• I••••••••• M••••••••• L••May 27, 2016 · Other
- N••••• D••••• M••••• from W••••••• L••••••• • A•••••••••Mar 1, 2016 · Other
- K•••••• D• F•••••• from M••••• S••••••Nov 17, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for N•••••••• P•••••••• L••Jul 17, 2025 · San Francisco, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••••• O••• · Managing Principalcontrolsince 08/2018 · owns less than 5%
- G••••••• A•••••• E•••• · Managing Principalcontrolsince 03/1996 · owns less than 5%
- M•••••• J•••• L••••• · Chief Operations Officer And Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- B•••••••• C••••••• O••• · Sole Ownercontrolsince 05/2013 · owns 75% or more of P••••••• C•••••• A•••••••• L••
- G••••••• A•••••• E•••• · Sole Ownercontrolsince 07/2018 · owns 75% or more of G•••••• M••••••••• I•••
Entity owners
- G•••••• M••••••••• I••• · Ownerdirect · owns 10% to 25%
- P••••••• C•••••• A•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 862 to 928Mar 11, 2024 to Mar 5, 2025
- HNW clients · 160 to 169Mar 11, 2024 to Mar 5, 2025
- Individual clients · 51 to 48Mar 11, 2024 to Mar 5, 2025
- Assets in custody · $200M to $243MMar 11, 2024 to Mar 5, 2025
- Employees · 10 to 9Mar 11, 2024 to Mar 5, 2025
- Discretionary RAUM · $640M to $747MMar 11, 2024 to Mar 5, 2025
- HNW RAUM · $609M to $717MMar 11, 2024 to Mar 5, 2025
- Individual RAUM · $28.7M to $27.4MMar 11, 2024 to Mar 5, 2025
- RAUM · $640M to $747MMar 11, 2024 to Mar 5, 2025
- Accounts · 819 to 862Sep 7, 2023 to Mar 11, 2024
- HNW clients · 154 to 160Sep 7, 2023 to Mar 11, 2024
- Individual clients · 48 to 51Sep 7, 2023 to Mar 11, 2024
- Assets in custody · $138M to $200MSep 7, 2023 to Mar 11, 2024
- Employees · 9 to 10Sep 7, 2023 to Mar 11, 2024
- Discretionary RAUM · $523M to $640MSep 7, 2023 to Mar 11, 2024
- HNW RAUM · $496M to $609MSep 7, 2023 to Mar 11, 2024
- Individual RAUM · $25.6M to $28.7MSep 7, 2023 to Mar 11, 2024
- RAUM · $523M to $640MSep 7, 2023 to Mar 11, 2024
- Accounts · 797 to 819Jan 4, 2023 to Mar 1, 2023
- Advisory employees · 3 to 4Jan 4, 2023 to Mar 1, 2023
- HNW clients · 153 to 154Jan 4, 2023 to Mar 1, 2023
- Individual clients · 43 to 48Jan 4, 2023 to Mar 1, 2023
- Assets in custody · $148M to $138MJan 4, 2023 to Mar 1, 2023
- Employees · 8 to 9Jan 4, 2023 to Mar 1, 2023
- State-registered IARs · 3 to 4Jan 4, 2023 to Mar 1, 2023
- Discretionary RAUM · $587M to $523MJan 4, 2023 to Mar 1, 2023
- HNW RAUM · $560M to $496MJan 4, 2023 to Mar 1, 2023
- Individual RAUM · $24.0M to $25.6MJan 4, 2023 to Mar 1, 2023
- RAUM · $587M to $523MJan 4, 2023 to Mar 1, 2023
- Accounts · 767 to 797May 18, 2021 to Mar 1, 2022
- Advisory employees · 2 to 3May 18, 2021 to Mar 1, 2022
- HNW clients · 146 to 153May 18, 2021 to Mar 1, 2022
- Individual clients · 44 to 43May 18, 2021 to Mar 1, 2022
- Assets in custody · $101M to $148MMay 18, 2021 to Mar 1, 2022
- Employees · 9 to 8May 18, 2021 to Mar 1, 2022
- State-registered IARs · 2 to 3May 18, 2021 to Mar 1, 2022
- Discretionary RAUM · $511M to $587MMay 18, 2021 to Mar 1, 2022
- HNW RAUM · $488M to $560MMay 18, 2021 to Mar 1, 2022
- Individual RAUM · $20.9M to $24.0MMay 18, 2021 to Mar 1, 2022
- RAUM · $511M to $587MMay 18, 2021 to Mar 1, 2022
Signals
8 dated events
- P••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $746.5M)Aug 1, 2025 · Left the SEC roster · derived
- R••• R•••• left P••••••• A••••••• L•• for N•••••••• P•••••••• L•• (registered 2025-07-01)Jul 17, 2025 · Advisor changed firm · fact
- C•••••• O••• B••••••• left P••••••• A••••••• L•• for N•••••••• P•••••••• L•• (registered 2025-07-01)Jul 17, 2025 · Advisor changed firm · fact
- P••••••• A••••••• L••'s advisors moved to N•••••••• P•••••••• L•• (San Francisco, CA): 4 of 4 registered, on the same dayJul 17, 2025 · Firm absorbed (people side) · derived
- A••••• E•••• G•••••• left P••••••• A••••••• L•• for N•••••••• P•••••••• L•• (registered 2025-07-01)Jul 17, 2025 · Advisor changed firm · fact
- B••••••• D••••• S••••••• left P••••••• A••••••• L•• for N•••••••• P•••••••• L•• (registered 2025-07-01)Jul 17, 2025 · Advisor changed firm · fact
- J••••• F••••• left P••••••• A••••••• L•• for Lido (registered 2024-09-25)Aug 1, 2024 · Advisor changed firm · fact
- G•••••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 17, 2018 · Succession (Item 4) · fact
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