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••••• P••••••• L••
Latest filing Feb 22, 2021
First filing on the tape Jan 30, 2012 · 23 filings
RAUM
$10.7M
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
1
beyond the principal office
Private funds
3
$11.0M gross assets
History
23 filings and snapshots on the tape
RAUM$10.7M as of Feb 22, 2021
Jan 30, 2012$810M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2021
Jan 30, 20120 then
Employees (5.A)1 as of Feb 22, 2021
Jan 28, 201314 then
Private funds3 as of Feb 22, 2021
Jan 30, 20121 then
RAUM -83% over the last fiscal year-61% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2021; 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
- $3.6MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -83%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 vehiclesreportedItem 5.G
- Custody
- $64.6M, 3 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$10.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.6M for 3 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••• P••••••• S•••••••• C••••• F••• I• L•••no longer reported | Hedge Fund | $44.0M | 24 | Mar 27, 2014 |
| B••••• F••• L•no longer reported | Hedge Fund | $13.0M | 2 | Mar 30, 2016 |
| F••••• M••••• F••• L•• | Hedge Fund | $7.7M | 87 | Jan 30, 2012 |
| F••••• P••••••• I••••••••• F••• I• L•••no longer reported | Hedge Fund | $4.8M | 4 | Mar 27, 2014 |
| F••••• P••••••• S•••••••• C••••• F••• I•• L••• | Hedge Fund | $3.4M | 18 | Mar 30, 2015 |
| F••••• I••••• F•••• L••• | Hedge Fund | $0 | 13 | Mar 16, 2018 |
Owners and control persons
Schedule A and B, latest filing
- K••••• W•••••• D•••••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- K••••••• A••••••••• N••••••• · Senior Managing Directorcontrolsince 02/2014 · owns less than 5%
- M••••••• M••••••• G••••• · Global Head Of Asset Managementcontrolsince 11/2017 · owns less than 5%
- P••••••• K••••••• M•••••• · Chief Financial Officercontrolsince 01/2020 · owns less than 5%
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 01/2010 · owns F of H••••• W• L•••••• R•••••••• T••••
- L••••••• H•••••• W•••••• · Sole Trusteecontrolsince 05/2009 · owns F of H••••• W• L•••••• P••••••• A•••• T••••
- M•••••• S••••••• M••••• · General Counsel And Secretarysince 02/2014 · owns less than 5%
Entity owners
- C••••• F••••••••• A•••• M••••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- C••••• F••••••••• L••• · Memberindirect · owns 75% or more of C••••• F••••••••• A•••• M••••••••• H•••••••• L••
- C• G•••• M••••••••• I••• · Managing General Partnerindirect · owns F of C••••• F••••••••• L•••
- H••••• W• L•••••• P••••••• A•••• T•••• · L•••••• Partnerindirect · owns 25% to 50% of C••••• F••••••••• L•••
- H••••• W• L•••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of C• G•••• M••••••••• I•••
Related persons
Schedule D 7.A
- A••••• B•••••• L••broker-dealern
- A••• S••••••••• L•••broker-dealern
- A•••• B••broker-dealern
- B•••• •••• P••••••• L••••••real estaten
- B•••• L••••••real estaten
- B•••• R• •••••• E•••• L••••••real estaten
- B•••• R• B••••• C•••••••• D• R••••••••• L•••real estaten
- B•••• S•••••• V• R•••••••• B••••••••• L••real estaten
- B•• B•••••• L•••broker-dealern
- B•• C•••••• M•••••• •••• K•••• L••••••broker-dealern
- B•• C•••••• M•••••• ••••••• L•• ••••• B••••••CPO or CTAn
- B•• C•••••• M•••••• • F•••••• E••••••• B••••• •••••• L••••••broker-dealern
- B•• D••••••••• M••••••• L•••CPO or CTAn
- B•• F••••••••• L•••broker-dealern
- B•• L••••••• D••••••••• D• T•••••• E• V•••••• M••••••••• L••••broker-dealern
- B•• P••••••• ••••••••• P•• L••••••broker-dealerCPO or CTAn
- B•• P••••••• ••••••••• L••••••broker-dealern
- B•• P••••••• M••••• D••••••• A•••broker-dealern
- B•• P•••••••• I•••broker-dealern
- B•• S• F•••••••• B•••••• ••••••••• L••••••broker-dealern
- B•• S••••••••• ••••••••• P•• L••broker-dealern
- B•• S••••••••• •••• K•••• L••broker-dealern
- B•• S••••••••• ••••••••• L••••••broker-dealern
- B•• S••••• K••••• L••••••broker-dealern
- C••••• C••••••••• A••••••••investment advisern
- C••••• F••••••••• •••• K•••• C•••••• M•••••• L••••••broker-dealern
- C••••• F••••••••• • C••broker-dealern
- C••••• F••••••••• C••••• C•••••••••broker-dealern
- C••••• F••••••••• E•••••broker-dealern
- C••••• F••••••••• I••••••••• A•••••••investment adviserbankyRAUM $3.2B
Advisers that list F••••• P••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $64.6M to $10.7MJan 27, 2021 to Feb 22, 2021
- Pooled vehicle RAUM · $64.6M to $10.7MJan 27, 2021 to Feb 22, 2021
- RAUM · $64.6M to $10.7MJan 27, 2021 to Feb 22, 2021
- Assets in custody · $548M to $64.6MJan 23, 2020 to Mar 20, 2020
- Discretionary RAUM · $94.1M to $64.6MJan 23, 2020 to Mar 20, 2020
- Pooled vehicle RAUM · $94.1M to $64.6MJan 23, 2020 to Mar 20, 2020
- RAUM · $94.1M to $64.6MJan 23, 2020 to Mar 20, 2020
- HQ city · REDWOOD CITY to unsetNov 13, 2019 to Jan 23, 2020
- HQ state · CA to unsetNov 13, 2019 to Jan 23, 2020
- Accounts · 6 to 3Aug 24, 2018 to Mar 13, 2019
- Advisory employees · 2 to 1Aug 24, 2018 to Mar 13, 2019
- Pooled vehicle clients · 6 to 3Aug 24, 2018 to Mar 13, 2019
- Employees · 4 to 1Aug 24, 2018 to Mar 13, 2019
- Private funds · 4 to 3Aug 24, 2018 to Mar 13, 2019
- Discretionary RAUM · $183M to $94.1MAug 24, 2018 to Mar 13, 2019
- Pooled vehicle RAUM · $183M to $94.1MAug 24, 2018 to Mar 13, 2019
- RAUM · $183M to $94.1MAug 24, 2018 to Mar 13, 2019
- Accounts · 7 to 6Jun 22, 2017 to Mar 16, 2018
- Advisory employees · 3 to 2Jun 22, 2017 to Mar 16, 2018
- Pooled vehicle clients · unset to 6.0Jun 22, 2017 to Mar 16, 2018
- Employees · 6 to 4Jun 22, 2017 to Mar 16, 2018
- Other offices · unset to 1.0Jun 22, 2017 to Mar 16, 2018
- Private funds · 5 to 4Jun 22, 2017 to Mar 16, 2018
- Discretionary RAUM · $382M to $183MJun 22, 2017 to Mar 16, 2018
- Pooled vehicle RAUM · unset to 182867000.0Jun 22, 2017 to Mar 16, 2018
- RAUM · $382M to $183MJun 22, 2017 to Mar 16, 2018
- Advisory employees · 4 to 3Mar 30, 2016 to Mar 29, 2017
- BD registered reps · 2 to 0Mar 30, 2016 to Mar 29, 2017
- Employees · 13 to 6Mar 30, 2016 to Mar 29, 2017
- Discretionary RAUM · $548M to $382MMar 30, 2016 to Mar 29, 2017
- RAUM · $548M to $382MMar 30, 2016 to Mar 29, 2017
- Accounts · 6 to 7Jan 6, 2016 to Mar 30, 2016
- Advisory employees · 5 to 4Jan 6, 2016 to Mar 30, 2016
- Assets in custody · $662M to $548MJan 6, 2016 to Mar 30, 2016
- Employees · 14 to 13Jan 6, 2016 to Mar 30, 2016
- Private funds · 4 to 5Jan 6, 2016 to Mar 30, 2016
- Discretionary RAUM · $662M to $548MJan 6, 2016 to Mar 30, 2016
- RAUM · $662M to $548MJan 6, 2016 to Mar 30, 2016
- Accounts · 5 to 6Nov 14, 2014 to Mar 30, 2015
- Advisory employees · 6 to 5Nov 14, 2014 to Mar 30, 2015
Signals
3 dated events
- Steven Bisgay (Chief Financial Officer) no longer on Schedule A of F••••• P••••••• L•• (listed 2019-11-13, absent 2020-01-23)Jan 23, 2020 · Control person left · inference
- Michael Kenneth Paulson (Chief Financial Officer) appeared on Schedule A of F••••• P••••••• L••Jan 23, 2020 · Control person joined · fact
- F••••• P••••••• L•• reported RAUM $182.9M, down 52% from $382.0M (2017-06-22 to 2018-03-16)Mar 16, 2018 · RAUM change · derived
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