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

A••• C••••••• L••

Former SEC-registered adviserOrinda, CaliforniaCRD 134996SEC 801-71380IAPD
Latest filing Aug 14, 2015
First filing on the tape Mar 14, 2012 · 8 filings
RAUM
$1.6B
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
22
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$1.6B gross assets
History
8 filings and snapshots on the tape
RAUM$1.6B as of Mar 11, 2015
Mar 14, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2015
Mar 14, 20120 then
Employees (5.A)22 as of Mar 11, 2015
Mar 13, 201321 then
Private funds6 as of Mar 11, 2015
Mar 14, 201211 then
RAUM -17% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 14, 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
$124MderivedRAUM 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
-17%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$849M, 8 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)
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
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$849M for 8 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Z•••• I••••••••• P•••••••• L•••Hedge Fund$903M80Mar 14, 2012
      Z•••• O••••••• L••••••no longer reportedHedge Fund$659M7Mar 14, 2012
      P••••• U••• O••••••••• L•••Hedge Fund$260M68Mar 14, 2012
      Z•••• E••••• N••••••• L•••Hedge Fund$229M5Mar 14, 2012
      P••••• A••• S••••• L•••Hedge Fund$107M8Mar 14, 2012
      P• A••• S••••• I•Hedge Fund$107M8Aug 14, 2015
      Z•••• E•• U•• L•••Hedge Fund$55.7M3Mar 14, 2012
      A••• C••••• F••• L••••••Hedge Fund$49.6M6Mar 14, 2012
      Z•••• E•• U• N•• L•••no longer reportedHedge Fund$38.3M4Mar 14, 2012
      A••• E••••• O••••••••• L•••no longer reportedHedge Fund$27.5M2Mar 14, 2012
      A••• S•• L•••Hedge Fund$27.3M17Mar 6, 2014
      Z•••• I••••••••• O•••••••no longer reportedHedge Fund$10.0M2Mar 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J••••• D••••• · Managing Director Of Operations & Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • C••••• S••••••• J••• · Chief Executive Officer And Managercontrol
        since 04/2015 · owns less than 5%
      • D••••• K•••• S•••••••• · Trustee - T•• A•• T•••• D•••• M•• 2•• 2•••control
        since 05/2004 · owns 10% to 25%
      • S••••• G••• N•• · Chief Investment Officercontrol
        since 04/2015 · owns less than 5%
      • Y•••• C••••• P•• · Chief Financial Officercontrol
        since 01/2012 · owns less than 5%
      • L•••••• S••••• C••••• · Trustee- C•••• F••••• T••••
        since 06/2007 · owns 5% to 10%
      Entity owners
      • T•• C•••• T•••• U•••• A•••••••• D•••• J••• 2•• 2•••• A• A•••••• · Member
        direct · owns 50% to 75%
      • C•••• F••••• T•••• · Member
        direct · owns 5% to 10%
      • T•• A•• T•••• D•••• M•• 2•• 2••• · Member
        direct · owns 10% to 25%
      • T•• E•• T•••• D•••• M•• 2•• 2••• · Member
        direct · owns 10% to 25%
      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 · 11 to 13
        Aug 28, 2014 to Mar 11, 2015
      • Advisory employees · 8 to 7
        Aug 28, 2014 to Mar 11, 2015
      • Assets in custody · $840M to $849M
        Aug 28, 2014 to Mar 11, 2015
      • Private funds · 7 to 6
        Aug 28, 2014 to Mar 11, 2015
      • Discretionary RAUM · $1.9B to $1.6B
        Aug 28, 2014 to Mar 11, 2015
      • RAUM · $1.9B to $1.6B
        Aug 28, 2014 to Mar 11, 2015
      • Accounts · 13 to 11
        Jul 3, 2013 to Mar 6, 2014
      • Advisory employees · 7 to 8
        Jul 3, 2013 to Mar 6, 2014
      • Assets in custody · $676M to $840M
        Jul 3, 2013 to Mar 6, 2014
      • Employees · 21 to 22
        Jul 3, 2013 to Mar 6, 2014
      • Private funds · 10 to 7
        Jul 3, 2013 to Mar 6, 2014
      • Discretionary RAUM · $1.6B to $1.9B
        Jul 3, 2013 to Mar 6, 2014
      • RAUM · $1.6B to $1.9B
        Jul 3, 2013 to Mar 6, 2014
      • Accounts · 15 to 13
        Mar 14, 2012 to Mar 13, 2013
      • Advisory employees · unset to 7.0
        Mar 14, 2012 to Mar 13, 2013
      • Assets in custody · $1.1B to $676M
        Mar 14, 2012 to Mar 13, 2013
      • Employees · unset to 21.0
        Mar 14, 2012 to Mar 13, 2013
      • Private funds · 11 to 10
        Mar 14, 2012 to Mar 13, 2013
      • Discretionary RAUM · $2.3B to $1.6B
        Mar 14, 2012 to Mar 13, 2013
      • RAUM · $2.3B to $1.6B
        Mar 14, 2012 to Mar 13, 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