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

S••••• C•••••• M••••••••• L••

Former SEC-registered adviserOrinda, CaliforniaCRD 136021SEC 801-64557IAPD
Latest filing Mar 23, 2020
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$14.7M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$14.7M gross assets
History
18 filings and snapshots on the tape
RAUM$14.7M as of Mar 23, 2020
Mar 30, 2012$16.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Mar 30, 20120 then
Employees (5.A)1 as of Mar 23, 2020
Mar 14, 20131 then
Private funds2 as of Mar 23, 2020
Mar 30, 20124 then
RAUM +7.0% over the last fiscal year+64% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 23, 2020; 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
$7.4MderivedRAUM 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
+7.0%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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$14.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•• S•••••• F•••• L•no longer reportedReal Estate Fund$3.9M2Mar 30, 2012
      S•• S•••••• F••• 2• L•no longer reportedReal Estate Fund$2.5M3Mar 30, 2012
      S••••• O••••••••• F••• 3• L••no longer reportedReal Estate Fund$931,23319Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• R•••••• E••• · Managing Director/Chief Investment Officer/Presidentcontrol
        since 05/2005 · owns less than 5%
      • F•••••• G•••• W•••••• · Managing Director/Chief Operating Officercontrol
        since 05/2005 · owns less than 5%
      • K•••••••• P•••• F•••••• · Treasurer/Chief Financial Officercontrol
        since 05/2005 · owns less than 5%
      • P•••••••• I•• C••••••• E•••• · Managing Director/General Counselcontrol
        since 02/2005 · owns less than 5%
      • S••••••• C••••••••• E•••••••• · Chief Portfolio Managercontrol
        since 05/2005 · owns less than 5%
      • P••••••••• B•••••••• A••• · Limited Partnercontrol
        since 01/2009 · owns 25% to 50% of M•• F•••••••• L•, Mpf P•••••••••, Mpf S•••••••••
      • P••••••••• C••••••• E•••• · Limited Partnercontrol
        since 01/2009 · owns 25% to 50% of Mpf F••••••• LP, Mpf P•••••••••, & Mpf S•••••••••
      • B••••• J••• · Chief Compliance Officer
        since 04/2009 · owns less than 5%
      • I••••••• J•••••••• L• · Vice President
        since 05/2006 · owns less than 5%
      Entity owners
      • M•• A•••••••• L• · Owner
        direct · owns 75% or more
      • M•••••• I••• · General Partner
        indirect · owns 75% or more of Mpf F•••••••, Mpf P•••••••••, And Mpf S•••••••••
      • M•• F•••••••• L• · Limited Partner
        indirect · owns 50% to 75% of Mpf Advisers, LP
      • M•• P••••••••• L• · Limited Partner
        indirect · owns 25% to 50% of Mpf Advisers, LP
      • M•• S••••••••• L• · Limited Partner
        indirect · owns 25% to 50% of Mpf Advisers, LP
      Related persons
      Schedule D 7.A
      • A••••• S•••••
        insurancey
      • C•••••• P•••••••• I•
        investment companyy
      • L••••••• P•••••
        insurancey
      • M•• A•••••••• L•
        investment adviseryRAUM $118M
      • S•••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 0
        Mar 28, 2019 to Mar 23, 2020
      • Discretionary RAUM · $13.8M to $14.7M
        Mar 28, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $13.8M to $14.7M
        Mar 28, 2019 to Mar 23, 2020
      • RAUM · $13.8M to $14.7M
        Mar 28, 2019 to Mar 23, 2020
      • Discretionary RAUM · $4.2M to $13.8M
        Jun 20, 2018 to Dec 6, 2018
      • Pooled vehicle RAUM · $4.2M to $13.8M
        Jun 20, 2018 to Dec 6, 2018
      • RAUM · $4.2M to $13.8M
        Jun 20, 2018 to Dec 6, 2018
      • HQ city · MORAGA to ORINDA
        Mar 26, 2018 to Jun 20, 2018
      • Discretionary RAUM · $3.3M to $4.2M
        Jan 2, 2018 to Mar 26, 2018
      • Pooled vehicle RAUM · $3.3M to $4.2M
        Jan 2, 2018 to Mar 26, 2018
      • RAUM · $3.3M to $4.2M
        Jan 2, 2018 to Mar 26, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 23, 2017 to Jan 2, 2018
      • Other offices · unset to 1.0
        Mar 23, 2017 to Jan 2, 2018
      • Discretionary RAUM · $3.3M to $3.3M
        Mar 23, 2017 to Jan 2, 2018
      • Pooled vehicle RAUM · unset to 3347352.0
        Mar 23, 2017 to Jan 2, 2018
      • RAUM · $3.3M to $3.3M
        Mar 23, 2017 to Jan 2, 2018
      • Discretionary RAUM · $4.0M to $3.3M
        Jan 9, 2017 to Mar 23, 2017
      • RAUM · $4.0M to $3.3M
        Jan 9, 2017 to Mar 23, 2017
      • Discretionary RAUM · $7.5M to $4.0M
        Mar 29, 2016 to Jan 9, 2017
      • RAUM · $7.5M to $4.0M
        Mar 29, 2016 to Jan 9, 2017
      • Discretionary RAUM · $4.6M to $7.5M
        Dec 22, 2015 to Mar 29, 2016
      • RAUM · $4.6M to $7.5M
        Dec 22, 2015 to Mar 29, 2016
      • Discretionary RAUM · $7.5M to $4.6M
        Mar 18, 2015 to Dec 22, 2015
      • RAUM · $7.5M to $4.6M
        Mar 18, 2015 to Dec 22, 2015
      • Accounts · 3 to 2
        Dec 19, 2014 to Mar 18, 2015
      • Assets in custody · 8281886.0 to unset
        Dec 19, 2014 to Mar 18, 2015
      • Custody of client assets · true to false
        Dec 19, 2014 to Mar 18, 2015
      • Private funds · 3 to 2
        Dec 19, 2014 to Mar 18, 2015
      • Discretionary RAUM · $8.3M to $7.5M
        Dec 19, 2014 to Mar 18, 2015
      • RAUM · $8.3M to $7.5M
        Dec 19, 2014 to Mar 18, 2015
      • Assets in custody · $0 to $8.3M
        Mar 18, 2014 to Dec 19, 2014
      • Custody of client assets · false to true
        Mar 18, 2014 to Dec 19, 2014
      • Discretionary RAUM · $4.2M to $8.3M
        Mar 18, 2014 to Dec 19, 2014
      • RAUM · $4.2M to $8.3M
        Mar 18, 2014 to Dec 19, 2014
      • Discretionary RAUM · $5.0M to $4.2M
        Jun 27, 2013 to Mar 18, 2014
      • RAUM · $5.0M to $4.2M
        Jun 27, 2013 to Mar 18, 2014
      • Assets in custody · $83,009 to $0
        Apr 16, 2013 to Jun 27, 2013
      • Custody of client assets · true to false
        Apr 16, 2013 to Jun 27, 2013
      • Discretionary RAUM · $5.8M to $5.0M
        Apr 16, 2013 to Jun 27, 2013
      • RAUM · $5.8M to $5.0M
        Apr 16, 2013 to Jun 27, 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
      Across the graphs

      S••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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