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
C•••••• P••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 25, 2015 · 25 filings
SEC status approved since Apr 8, 2015
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$115M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$172M as of Mar 26, 2026
Mar 16, 2016$105M then
HNW client RAUM$106M as of Mar 26, 2026
Mar 29, 2018$47.4M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 16, 20163 then
Employees (5.A)4 as of Mar 26, 2026
Mar 16, 20164 then
Private funds1 as of Mar 26, 2026
Mar 16, 20161 then
RAUM +1.6% over the last fiscal year+6.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M62%
- Pooled investment vehicles$57.2M33%
- Individuals$8.6M5.0%
- Individual clients
- 29reported
- HNW clients
- 26reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 80reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.67 fund_share=0.33 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• G••••• S•••••••••Chartered Financial Analyst | Berkeley, Ca | Nov 22, 2025 | 32 y | 0 |
| B•••• G•• L••••••••Chartered Financial Analyst | Berkeley, Ca | Nov 22, 2025 | 31 y | 1 |
| A••• G••••Chartered Financial Analyst | Berkeley, Ca | May 22, 2026 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C•••••• A••••••••• F•••• L••• | Hedge Fund | $49.2M | 50 | Mar 25, 2015 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A••• · Chief Compliance Officercontrolsince 07/2017 · owns less than 5%
- L••••••••• B••••• G•• · Manager/Membercontrolsince 01/2011 · owns 25% to 50%
- S••••••••• J••••• G••••• · Manager/Membercontrolsince 01/2009 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Berkeley, Ca · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 88 to 80Mar 31, 2025 to Mar 26, 2026
- HNW clients · 23 to 26Mar 31, 2025 to Mar 26, 2026
- Individual clients · 34 to 29Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $169M to $172MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $109M to $106MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $9.4M to $8.6MMar 31, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $50.6M to $57.2MMar 31, 2025 to Mar 26, 2026
- RAUM · $169M to $172MMar 31, 2025 to Mar 26, 2026
- Accounts · 94 to 88Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Mar 28, 2024 to Mar 31, 2025
- HNW clients · 20 to 23Mar 28, 2024 to Mar 31, 2025
- Individual clients · 38 to 34Mar 28, 2024 to Mar 31, 2025
- Employees · 3 to 4Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $152M to $169MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $91.9M to $109MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $10.8M to $9.4MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $49.2M to $50.6MMar 28, 2024 to Mar 31, 2025
- RAUM · $152M to $169MMar 28, 2024 to Mar 31, 2025
- Accounts · 92 to 94Mar 31, 2023 to Mar 28, 2024
- HNW clients · 16 to 20Mar 31, 2023 to Mar 28, 2024
- Individual clients · 42 to 38Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $141M to $152MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $81.6M to $91.9MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $12.2M to $10.8MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $47.4M to $49.2MMar 31, 2023 to Mar 28, 2024
- RAUM · $141M to $152MMar 31, 2023 to Mar 28, 2024
- Accounts · 81 to 92Mar 31, 2022 to Mar 31, 2023
- HNW clients · 22 to 16Mar 31, 2022 to Mar 31, 2023
- Individual clients · 27 to 42Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $140M to $141MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $89.5M to $81.6MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $8.7M to $12.2MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $41.5M to $47.4MMar 31, 2022 to Mar 31, 2023
- RAUM · $140M to $141MMar 31, 2022 to Mar 31, 2023
- Accounts · 84 to 81Oct 14, 2021 to Mar 31, 2022
- Individual clients · 19 to 27Oct 14, 2021 to Mar 31, 2022
- Discretionary RAUM · $115M to $140MOct 14, 2021 to Mar 31, 2022
- HNW RAUM · $68.3M to $89.5MOct 14, 2021 to Mar 31, 2022
- Individual RAUM · $7.5M to $8.7MOct 14, 2021 to Mar 31, 2022
Signals
1 dated events
- C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2015 · First SEC registration · fact
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
- Business phone
- 415-296-5070reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-296-5070reportedpublic record, Form ADV, Mar 26, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $57.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026