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••••••••• F••••••••

Asset manager (funds and pooled vehicles)San F••••••••, CaliforniaCRD 131413SEC 801-63788IAPD

Legal name P••••••••• F•••••••• M••••••••• O• S•• F••••••••• L••

Latest filing Mar 23, 2026

First filing on the tape Mar 30, 2012 · 22 filings

SEC status approved since Jan 3, 2005

RAUM

$730M

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

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$730M as of Mar 23, 2026

Mar 30, 2012$672M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 30, 20120 then

Employees (5.A)9 as of Mar 23, 2026

Mar 21, 20138 then

Private funds3 as of Mar 23, 2026

Mar 30, 20124 then

RAUM -2.4% over the last fiscal year+0.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 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: $243MderivedRAUM 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: -2.4%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: $730M, 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)
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$730M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $730M 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
B•••••••• R•• I• L•••	Hedge Fund	$334M	77	Mar 30, 2012
B•••••••• R•• I•• L•••	Hedge Fund	$206M	78	Mar 30, 2012
B•••••••• R•• O••••••• M•••••• L•••	Hedge Fund	$103M	17	Mar 30, 2012
O• 5•• O••••••• F••• L•••no longer reported	Hedge Fund	$100M	10	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• J••••••• S•••••• · Chief Financial Officer And Chief Compliance Officercontrol
since 02/2024 · owns less than 5%
H•••••••• J•••••• N••• · Managing Principalcontrol
since 03/2004 · owns less than 5%
H•••••••• J•••••• N••• · Trusteecontrol
since 01/2021 · owns F of H••••••• 1••• T••••
H•••••••• S••••• A•••• G••••• · Trusteecontrol
since 01/2021 · owns F of H••••••• 1••• T••••

Entity owners

H••••••• 1••• T•••• · Partner
direct · 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 · $748M to $730M
Mar 18, 2025 to Mar 23, 2026
Discretionary RAUM · $748M to $730M
Mar 18, 2025 to Mar 23, 2026
Pooled vehicle RAUM · $748M to $730M
Mar 18, 2025 to Mar 23, 2026
RAUM · $748M to $730M
Mar 18, 2025 to Mar 23, 2026
Advisory employees · 6 to 7
Mar 1, 2024 to Mar 18, 2025
Assets in custody · $643M to $748M
Mar 1, 2024 to Mar 18, 2025
Employees · 8 to 9
Mar 1, 2024 to Mar 18, 2025
Financial planning clients · unset to
Mar 1, 2024 to Mar 18, 2025
Discretionary RAUM · $643M to $748M
Mar 1, 2024 to Mar 18, 2025
Pooled vehicle RAUM · $643M to $748M
Mar 1, 2024 to Mar 18, 2025
RAUM · $643M to $748M
Mar 1, 2024 to Mar 18, 2025
Assets in custody · $719M to $643M
Apr 26, 2023 to Mar 1, 2024
Discretionary RAUM · $719M to $643M
Apr 26, 2023 to Mar 1, 2024
Pooled vehicle RAUM · $719M to $643M
Apr 26, 2023 to Mar 1, 2024
RAUM · $719M to $643M
Apr 26, 2023 to Mar 1, 2024
Assets in custody · $718M to $719M
Mar 31, 2023 to Apr 26, 2023
Discretionary RAUM · $718M to $719M
Mar 31, 2023 to Apr 26, 2023
Pooled vehicle RAUM · $718M to $719M
Mar 31, 2023 to Apr 26, 2023
RAUM · $718M to $719M
Mar 31, 2023 to Apr 26, 2023
Accounts · 4 to 3
Mar 25, 2022 to Mar 31, 2023
Advisory employees · 4 to 6
Mar 25, 2022 to Mar 31, 2023
Pooled vehicle clients · 4 to 3
Mar 25, 2022 to Mar 31, 2023
Assets in custody · $599M to $718M
Mar 25, 2022 to Mar 31, 2023
Private funds · 4 to 3
Mar 25, 2022 to Mar 31, 2023
Discretionary RAUM · $599M to $718M
Mar 25, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $599M to $718M
Mar 25, 2022 to Mar 31, 2023
RAUM · $599M to $718M
Mar 25, 2022 to Mar 31, 2023
Assets in custody · $541M to $599M
Mar 25, 2021 to Mar 25, 2022
Discretionary RAUM · $541M to $599M
Mar 25, 2021 to Mar 25, 2022
Pooled vehicle RAUM · $541M to $599M
Mar 25, 2021 to Mar 25, 2022
RAUM · $541M to $599M
Mar 25, 2021 to Mar 25, 2022
Accounts · 5 to 4
Sep 4, 2020 to Mar 25, 2021
Advisory employees · 6 to 4
Sep 4, 2020 to Mar 25, 2021
Assets in custody · $1.0B to $541M
Sep 4, 2020 to Mar 25, 2021
Employees · 12 to 8
Sep 4, 2020 to Mar 25, 2021
Discretionary RAUM · $1.0B to $541M
Sep 4, 2020 to Mar 25, 2021
Pooled vehicle RAUM · $987M to $541M
Sep 4, 2020 to Mar 25, 2021
RAUM · $1.0B to $541M
Sep 4, 2020 to Mar 25, 2021
Assets in custody · $1.0B to $1.0B
Aug 27, 2020 to Sep 4, 2020
Discretionary RAUM · $1.0B to $1.0B
Aug 27, 2020 to Sep 4, 2020

Signals

5 dated events

Stephen Jeffrey Bowers (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of P••••••••• F••••••••
Mar 1, 2024 · Control person joined · fact
Francis Gerard Moore (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of P••••••••• F•••••••• (listed 2023-04-26, absent 2024-03-01)
Mar 1, 2024 · Control person left · inference
Allis Gilmor Sarah Hymowitz (Trustee) appeared on Schedule A of P••••••••• F••••••••
Mar 25, 2022 · Control person joined · fact
P••••••••• F•••••••• reported RAUM $540.6M, down 47% from $1.0B (2020-09-04 to 2021-03-25)
Mar 25, 2021 · RAUM change · derived
James Justin Hughes (Principal) no longer on Schedule A of P••••••••• F•••••••• (listed 2020-09-04, absent 2021-03-25)
Mar 25, 2021 · Control person left · inference

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

Principal office phone: (415) 352-4460reportedpublic record, Form ADV, Mar 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: 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