DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T••••••••• I••••••••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser2 private funds· Sausalito, California

Former SEC-registered adviser, based in Sausalito, California, reporting $29.3M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$29.3M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-84%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 138261 · SEC 801-64991 · 2 filingsShow
CRD 138261SEC 801-64991First filing on the tape Mar 30, 2012, latest May 16, 2013IAPD
RAUM
$29.3M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$29.3M gross assets
History
2 filings and snapshots on the tape
RAUM$29.3M as of May 16, 2013
Mar 30, 2012$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 16, 2013
Mar 30, 20120 then
Employees (5.A): 2
Private funds2 as of May 16, 2013
Mar 30, 20122 then
RAUM -84% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 16, 2013; 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
$5.9MderivedRAUM 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
-84%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, otherreportedItem 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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••••• N•••• B••• F•••• L•••Hedge Fund$16.1M21Mar 30, 2012
      T••••••••• M••••• F••• ••••• L•••Hedge Fund$13.2M57Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• S••••• P••••• · General Partnercontrol
        since 06/2004 · owns 50% to 75%
      • S•••••••• R•••••• W•••••• · Cco And General Partnercontrol
        since 06/2004 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • T••••••••• I••••••••• P•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Mar 30, 2012 to May 16, 2013
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to May 16, 2013
      • Employees · unset to 2.0
        Mar 30, 2012 to May 16, 2013
      • Discretionary RAUM · $188M to $29.3M
        Mar 30, 2012 to May 16, 2013
      • RAUM · $188M to $29.3M
        Mar 30, 2012 to May 16, 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