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
T••••••• F••••••••• L••
Latest filing Apr 12, 2013
First filing on the tape Feb 21, 2012 · 4 filings
RAUM
$249M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$249M as of Mar 14, 2013
Feb 21, 2012$228M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 3
Private funds: no history
RAUM +9.2% over the last fiscal year
Practice profile
derived from the filing of Apr 12, 2013; 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
- $205,267derivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
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
- 1,215reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- S••• T••••• O••••••• to F•••••••• E•••••• A•••••• C•••••• L••Jul 2, 2013 · Other
- S•••••• W•••••• N••••• to P••••••• C•••••• A••••••• C•••••••••Jun 6, 2013 · Other
Joined, latest
- S•••••• W•••••• N••••• from C••••• A•••••• N••••••• L••Nov 12, 2010 · Other
- S••• T••••• O••••••• from R•••••• J•••• F•••••••• S•••••••• I•••Feb 2, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••• E••••• · Presidentcontrolsince 02/2005 · owns less than 5%
- K••••••••• W•••••• J••••• · Managing Partner, Senior Investment A•••••• - Investments, Chief Compliance Officercontrolsince 01/2005 · owns less than 5%
Entity owners
- T••••••••• L•• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•• M••••• F••• S••••investment advisernRAUM $116M
- T•• M••••• F••• S••••investment advisernRAUM $36.8M
- T•• M••••• F••• S••••investment advisernRAUM $60.1M
- T•• M••••• F••• S••••investment advisernRAUM $116M
Advisers that list T••••••• F••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Pleasanton, CA
- San Rafael, CA
What changed
consecutive filings, newest first
- Accounts · 959 to 1,215Dec 11, 2012 to Mar 14, 2013
- Advisory employees · 5 to 3Dec 11, 2012 to Mar 14, 2013
- Employees · 5 to 3Dec 11, 2012 to Mar 14, 2013
- Discretionary RAUM · $228M to $249MDec 11, 2012 to Mar 14, 2013
- RAUM · $228M to $249MDec 11, 2012 to Mar 14, 2013
- Advisory employees · unset to 5.0Feb 21, 2012 to Dec 11, 2012
- Employees · unset to 5.0Feb 21, 2012 to Dec 11, 2012
- HQ city · PLEASANTON to SANTA CLARAFeb 21, 2012 to Dec 11, 2012
- State-registered IARs · unset to 0.0Feb 21, 2012 to Dec 11, 2012
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