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

M••••••••• • A••••••••• L••

Former SEC-registered adviserMill Valley, CaliforniaCRD 133794SEC 801-63826IAPD
Latest filing Mar 27, 2015
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$85.0M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$85.0M as of Mar 27, 2015
Mar 29, 2012$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Apr 3, 20130 then
Employees (5.A)5 as of Mar 27, 2015
Apr 3, 20135 then
Private funds: no history
RAUM +1.0% over the last fiscal year-6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2015; 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
$1.0MderivedRAUM 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
+1.0%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
81reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••••• M••••••• F••••••• · Chief Compliance Officercontrol
    since 03/2010 · owns less than 5%
  • W••••••• L•••• A••• · Managing Membercontrol
    since 06/2007 · owns less than 5%
  • W••••••• L•••• A••• · Trusteecontrol
    since 06/1993 · owns F of L••• A• W•••••• T••••
Entity owners
  • L••• A• W•••••• T•••• · Member
    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
  • Accounts · 87 to 81
    Oct 13, 2014 to Mar 27, 2015
  • Discretionary RAUM · $84.2M to $85.0M
    Oct 13, 2014 to Mar 27, 2015
  • RAUM · $84.2M to $85.0M
    Oct 13, 2014 to Mar 27, 2015
  • Accounts · 78 to 87
    Dec 23, 2013 to Apr 1, 2014
  • Discretionary RAUM · $73.0M to $84.2M
    Dec 23, 2013 to Apr 1, 2014
  • RAUM · $73.0M to $84.2M
    Dec 23, 2013 to Apr 1, 2014
  • HQ city · SAN FRANCISCO to MILL VALLEY
    Aug 28, 2013 to Dec 23, 2013
  • Accounts · 77 to 78
    Jul 26, 2013 to Aug 13, 2013
  • Discretionary RAUM · $72.9M to $73.0M
    Jul 26, 2013 to Aug 13, 2013
  • RAUM · $72.9M to $73.0M
    Jul 26, 2013 to Aug 13, 2013
  • Advisory employees · 5 to 2
    Jun 3, 2013 to Jul 26, 2013
  • Accounts · 80 to 77
    Apr 3, 2013 to Jun 3, 2013
  • Discretionary RAUM · $68.8M to $72.9M
    Apr 3, 2013 to Jun 3, 2013
  • RAUM · $68.8M to $72.9M
    Apr 3, 2013 to Jun 3, 2013
  • Accounts · 85 to 80
    Mar 29, 2012 to Apr 3, 2013
  • Advisory employees · unset to 5.0
    Mar 29, 2012 to Apr 3, 2013
  • BD registered reps · unset to 1.0
    Mar 29, 2012 to Apr 3, 2013
  • Employees · unset to 5.0
    Mar 29, 2012 to Apr 3, 2013
  • State-registered IARs · unset to 0.0
    Mar 29, 2012 to Apr 3, 2013
  • Discretionary RAUM · $103M to $68.8M
    Mar 29, 2012 to Apr 3, 2013
  • RAUM · $103M to $68.8M
    Mar 29, 2012 to Apr 3, 2013
Signals
No event on the tape.
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