DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
P•••••• C•••••• R•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 23, 2016 · 14 filings
SEC status approved since Jul 5, 2016
RAUM
$420M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$420M as of Mar 27, 2026
Mar 31, 2017$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20170 then
Employees (5.A)4 as of Mar 27, 2026
Mar 31, 20173 then
Private funds3 as of Mar 27, 2026
Mar 31, 20172 then
RAUM +9.9% over the last fiscal year+8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $105MderivedRAUM 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
- +9.9%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 vehiclesreportedItem 5.G
- Custody
- $340M, 3 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)
- 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
- Pooled investment vehicles$420M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $340M for 3 clientsreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• I••••••••• F••• L••• | Hedge Fund | $123M | 1 | Mar 29, 2021 |
| P•••••• C•••••• R••••••• P••••••• I•• L••• | Hedge Fund | $119M | 44 | Mar 26, 2014 |
| P•••••• C•••••• R••••••• P•••••••• L••• | Hedge Fund | $88.3M | 85 | Mar 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- N••••••• H•••••• I•• · Ccocontrolsince 06/2017 · owns less than 5%
- R•••••••• J•••• R• · Managing Membercontrolsince 02/2003 · 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
- Assets in custody · $322M to $340MMar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $382M to $420MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $382M to $420MMar 27, 2025 to Mar 27, 2026
- RAUM · $382M to $420MMar 27, 2025 to Mar 27, 2026
- Assets in custody · $301M to $322MMar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $344M to $382MMar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $344M to $382MMar 26, 2024 to Mar 27, 2025
- RAUM · $344M to $382MMar 26, 2024 to Mar 27, 2025
- Assets in custody · $288M to $301MMar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $328M to $344MMar 29, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $328M to $344MMar 29, 2023 to Mar 26, 2024
- RAUM · $328M to $344MMar 29, 2023 to Mar 26, 2024
- Assets in custody · $395M to $288MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $452M to $328MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $452M to $328MMar 30, 2022 to Mar 29, 2023
- RAUM · $452M to $328MMar 30, 2022 to Mar 29, 2023
- Assets in custody · $406M to $395MMar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $429M to $452MMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $429M to $452MMar 29, 2021 to Mar 30, 2022
- RAUM · $429M to $452MMar 29, 2021 to Mar 30, 2022
- Accounts · 3 to 4Mar 28, 2020 to Mar 29, 2021
- Pooled vehicle clients · 3 to 4Mar 28, 2020 to Mar 29, 2021
- Assets in custody · $227M to $406MMar 28, 2020 to Mar 29, 2021
- Private funds · 2 to 3Mar 28, 2020 to Mar 29, 2021
- Discretionary RAUM · $262M to $429MMar 28, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $262M to $429MMar 28, 2020 to Mar 29, 2021
- RAUM · $262M to $429MMar 28, 2020 to Mar 29, 2021
- Accounts · 2 to 3Mar 29, 2019 to Mar 28, 2020
- Pooled vehicle clients · 2 to 3Mar 29, 2019 to Mar 28, 2020
- Assets in custody · $205M to $227MMar 29, 2019 to Mar 28, 2020
- Discretionary RAUM · $235M to $262MMar 29, 2019 to Mar 28, 2020
- Pooled vehicle RAUM · $235M to $262MMar 29, 2019 to Mar 28, 2020
- RAUM · $235M to $262MMar 29, 2019 to Mar 28, 2020
- Assets in custody · $201M to $205MMar 28, 2018 to Mar 29, 2019
- Discretionary RAUM · $201M to $235MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $201M to $235MMar 28, 2018 to Mar 29, 2019
- RAUM · $201M to $235MMar 28, 2018 to Mar 29, 2019
- Advisory employees · 2 to 3Jun 27, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 2.0Jun 27, 2017 to Mar 28, 2018
Signals
3 dated events
- P•••••• C•••••• R•••••••• L•• reported RAUM $327.7M, down 27% from $451.5M (2022-03-30 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- P•••••• C•••••• R•••••••• L•• reported RAUM $429.1M, up 64% from $262.3M (2020-03-28 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- P•••••• C•••••• R•••••••• L•• filed its initial SEC registration (Form ADV)Jun 23, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• C•••••• R•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 415-576-1104reportedpublic record, Form ADV, Mar 27, 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