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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SEC-registered adviser
L•••••• E••• I••••••••• A•••••••••
Latest filing Feb 26, 2026
First filing on the tape Feb 7, 2012 · 15 filings
SEC status approved since Aug 24, 2007
RAUM
$5.2B
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$5.2B as of Feb 26, 2026
Feb 7, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2026
Feb 7, 20120 then
Employees (5.A)13 as of Feb 26, 2026
Feb 21, 201312 then
Private funds1 as of Mar 13, 2025
Feb 21, 20132 then
RAUM +6.1% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $431MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%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
- +6.1%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 pooled vehicles, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$5.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• G•• I••••••••• L••no longer reported | Other Private Fund | $569M | 2 | Mar 29, 2016 |
| L••• G•••• T•••• • E••••••• M•••••• F••• | Other Private Fund | $232M | 1 | Mar 11, 2019 |
| E•• P••••• E••••• E••••••• M••••••• I•• L•no longer reported | Other Private Fund | $81.4M | 1 | Feb 21, 2013 |
| L••• C••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $11.6M | 3 | Feb 21, 2013 |
Owners and control persons
Schedule A and B, latest filing
- F•••• C••••• W•••••• · Executive Vice President, Membercontrolsince 07/2005 · owns 10% to 25%
- J••• C••••••• C••• · President / Ceo / Managing Membercontrolsince 07/2005 · owns 75% or more
- W••••••••• S••••• M••• K•• · Senior Vice President / Chief Compliance Officersince 07/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 26, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-13, no on the filing of 2026-02-26peers: institutional managers, $5B to $20B (71)
What changed
consecutive filings, newest first
- Accounts · 13 to 12Mar 13, 2025 to Feb 26, 2026
- Advisory employees · 9 to 8Mar 13, 2025 to Feb 26, 2026
- Employees · 14 to 13Mar 13, 2025 to Feb 26, 2026
- Private funds · 1 to unsetMar 13, 2025 to Feb 26, 2026
- Discretionary RAUM · $4.9B to $5.2BMar 13, 2025 to Feb 26, 2026
- RAUM · $4.9B to $5.2BMar 13, 2025 to Feb 26, 2026
- Accounts · 12 to 13Mar 6, 2024 to Mar 13, 2025
- Advisory employees · 8 to 9Mar 6, 2024 to Mar 13, 2025
- Employees · 12 to 14Mar 6, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 6, 2024 to Mar 13, 2025
- State-registered IARs · 2 to 0Mar 6, 2024 to Mar 13, 2025
- Discretionary RAUM · $3.9B to $4.9BMar 6, 2024 to Mar 13, 2025
- RAUM · $3.9B to $4.9BMar 6, 2024 to Mar 13, 2025
- Employees · 14 to 12Mar 28, 2023 to Mar 6, 2024
- Discretionary RAUM · $3.3B to $3.9BMar 28, 2023 to Mar 6, 2024
- RAUM · $3.3B to $3.9BMar 28, 2023 to Mar 6, 2024
- Accounts · 11 to 12Mar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $4.0B to $3.3BMar 31, 2022 to Mar 28, 2023
- RAUM · $4.0B to $3.3BMar 31, 2022 to Mar 28, 2023
- Wrap assets (manager) · 23012235.0 to unsetMar 31, 2022 to Mar 28, 2023
- Wrap assets (sponsor) · 0.0 to unsetMar 31, 2022 to Mar 28, 2023
- Accounts · 10 to 11Mar 26, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.5B to $4.0BMar 26, 2021 to Mar 31, 2022
- RAUM · $3.5B to $4.0BMar 26, 2021 to Mar 31, 2022
- Wrap assets (manager) · $16.8M to $23.0MMar 26, 2021 to Mar 31, 2022
- Employees · 15 to 14Feb 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $3.0B to $3.5BFeb 26, 2020 to Mar 26, 2021
- RAUM · $3.0B to $3.5BFeb 26, 2020 to Mar 26, 2021
- Wrap assets (manager) · unset to 16836083.0Feb 26, 2020 to Mar 26, 2021
- Wrap assets (sponsor) · unset to 0.0Feb 26, 2020 to Mar 26, 2021
- Accounts · 11 to 10Mar 11, 2019 to Feb 26, 2020
- Advisory employees · 6 to 8Mar 11, 2019 to Feb 26, 2020
- Assets in custody · 0.0 to unsetMar 11, 2019 to Feb 26, 2020
- Custody of client assets · true to falseMar 11, 2019 to Feb 26, 2020
- Private funds · 2 to 1Mar 11, 2019 to Feb 26, 2020
- Discretionary RAUM · $3.0B to $3.0BMar 11, 2019 to Feb 26, 2020
- RAUM · $3.0B to $3.0BMar 11, 2019 to Feb 26, 2020
- Accounts · 10 to 11Mar 30, 2018 to Mar 11, 2019
- Assets in custody · $465,684 to $0Mar 30, 2018 to Mar 11, 2019
- Discretionary RAUM · $3.2B to $3.0BMar 30, 2018 to Mar 11, 2019
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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/103213reportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-217-7030reportedpublic record, Form ADV, Feb 26, 2026
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
- Institutional managerderiveda 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