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

E•• A•••••••• L••

Former SEC-registered adviserBurlingame, CaliforniaCRD 135682SEC 801-64366IAPD
Latest filing Jan 20, 2022
First filing on the tape Mar 20, 2012 · 18 filings
RAUM
$381M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
99%
$378M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$381M as of Jan 20, 2022
Mar 20, 2012$198M then
HNW client RAUM$365M as of Jan 20, 2022
Feb 1, 2018$300M then
State-registered IARs (5.B.3)2 as of Jan 20, 2022
Mar 20, 20120 then
Employees (5.A)2 as of Jan 20, 2022
Feb 21, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+8.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 20, 2022; every figure names its basis
RAUM per advisor
$190MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • High-net-worth individuals$365M96%
  • Individuals$13.3M3.5%
  • Charitable organizations$2.6M0.7%
Individual clients
35reported
HNW clients
96reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
377reported
Financial planning clients
101-250reported
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
  • A•••••••• L•••• · Principal, Chief Operations Officercontrol
    since 08/2005 · owns 50% to 75%
  • L••••••••• E••••• M••• · Principal, Chief Compliance Officercontrol
    since 04/2005 · owns 50% to 75%
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 · 378 to 377
    Feb 10, 2021 to Jan 20, 2022
  • Discretionary RAUM · $259M to $291M
    Feb 10, 2021 to Jan 20, 2022
  • HNW RAUM · $328M to $365M
    Feb 10, 2021 to Jan 20, 2022
  • Individual RAUM · $8.3M to $13.3M
    Feb 10, 2021 to Jan 20, 2022
  • Non-discretionary RAUM · $79.7M to $89.7M
    Feb 10, 2021 to Jan 20, 2022
  • RAUM · $339M to $381M
    Feb 10, 2021 to Jan 20, 2022
  • Accounts · 392 to 378
    Aug 4, 2020 to Feb 10, 2021
  • HNW clients · 113 to 96
    Aug 4, 2020 to Feb 10, 2021
  • Individual clients · 24 to 35
    Aug 4, 2020 to Feb 10, 2021
  • Discretionary RAUM · $272M to $259M
    Aug 4, 2020 to Feb 10, 2021
  • HNW RAUM · $335M to $328M
    Aug 4, 2020 to Feb 10, 2021
  • Individual RAUM · $3.1M to $8.3M
    Aug 4, 2020 to Feb 10, 2021
  • Non-discretionary RAUM · $67.9M to $79.7M
    Aug 4, 2020 to Feb 10, 2021
  • RAUM · $340M to $339M
    Aug 4, 2020 to Feb 10, 2021
  • Accounts · 399 to 392
    Mar 12, 2019 to Feb 4, 2020
  • HNW clients · 131 to 113
    Mar 12, 2019 to Feb 4, 2020
  • Individual clients · 0 to 24
    Mar 12, 2019 to Feb 4, 2020
  • Discretionary RAUM · $231M to $272M
    Mar 12, 2019 to Feb 4, 2020
  • HNW RAUM · $295M to $335M
    Mar 12, 2019 to Feb 4, 2020
  • Individual RAUM · $0 to $3.1M
    Mar 12, 2019 to Feb 4, 2020
  • Non-discretionary RAUM · $66.5M to $67.9M
    Mar 12, 2019 to Feb 4, 2020
  • RAUM · $297M to $340M
    Mar 12, 2019 to Feb 4, 2020
  • Accounts · 397 to 399
    Feb 1, 2018 to Mar 12, 2019
  • Charity clients · 1 to 2
    Feb 1, 2018 to Mar 12, 2019
  • HNW clients · 95 to 131
    Feb 1, 2018 to Mar 12, 2019
  • Individual clients · 33 to 0
    Feb 1, 2018 to Mar 12, 2019
  • Discretionary RAUM · $238M to $231M
    Feb 1, 2018 to Mar 12, 2019
  • HNW RAUM · $300M to $295M
    Feb 1, 2018 to Mar 12, 2019
  • Individual RAUM · $10.1M to $0
    Feb 1, 2018 to Mar 12, 2019
  • Non-discretionary RAUM · $73.1M to $66.5M
    Feb 1, 2018 to Mar 12, 2019
  • RAUM · $311M to $297M
    Feb 1, 2018 to Mar 12, 2019
  • Accounts · 400 to 397
    Feb 14, 2017 to Feb 1, 2018
  • Charity clients · unset to 1.0
    Feb 14, 2017 to Feb 1, 2018
  • Corporate clients · unset to 0.0
    Feb 14, 2017 to Feb 1, 2018
  • HNW clients · unset to 95.0
    Feb 14, 2017 to Feb 1, 2018
  • Individual clients · unset to 33.0
    Feb 14, 2017 to Feb 1, 2018
  • Pension plan clients · unset to 0.0
    Feb 14, 2017 to Feb 1, 2018
  • Pooled vehicle clients · unset to 0.0
    Feb 14, 2017 to Feb 1, 2018
  • Other offices · unset to 0.0
    Feb 14, 2017 to Feb 1, 2018
  • Discretionary RAUM · $218M to $238M
    Feb 14, 2017 to Feb 1, 2018
Signals
1 dated events
  • L•••• A••••••• left E•• A•••••••• L•• for A••••••• F•••••••• P•••••••• L•• (registered 2022-05-24)
    Apr 6, 2022 · Advisor changed firm · fact
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