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

F••••••• F•••••••• N••••••• L••

Former SEC-registered adviserCupertino, CaliforniaCRD 136401SEC 801-64542IAPD
Latest filing Mar 30, 2012
First filing on the tape Mar 28, 2012 · 5 filings
RAUM
$575M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$575M as of Mar 30, 2012
Mar 28, 2012$575M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2012
Mar 28, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2012; 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
$1.4MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • 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
410reported
Financial planning clients
101-250reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••••• R•••••• D••••• · Chief O•••••••• Officercontrol
    since 01/2012 · owns less than 5%
  • C••• E•••••• S•••••• · Principal/Chief Compliance Officercontrol
    since 01/2012 · owns less than 5%
  • K•••••• R•••••• G••• · Managing Principalcontrol
    since 07/2005 · owns less than 5%
Entity owners
  • F•••• O••••••••• L•• · Member
    direct · owns 75% or more
  • F•••• F•••••••• P•••••••• L•• · Member
    indirect · owns 75% or more of F•••• O••••••••• L••
  • S••••• P••••••• V• •••• L•• · G•••Ral Partner
    indirect · owns F of S••••• Partners Vi (Gp), L.P.
  • S••••• P••••••• V• •••• L• · G•••Ral Partner
    indirect · owns F of S••••• Ventures V•••, L.P.
  • S••••• V•••••• V•••• L••• · Member (Manager)
    indirect · owns 25% to 50% of F•••• F•••••••• P•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Burlingame, CA
  • Palo Alto, CA
What changed
consecutive filings, newest first
One filing, no change to show.
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