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

C••••••• C•••••• L•••••• P•••••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 138552SEC 801-65965IAPD
Latest filing Apr 27, 2020
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$86.7M
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
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$86.7M gross assets
History
17 filings and snapshots on the tape
RAUM$86.7M as of Mar 26, 2020
Mar 30, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 30, 20120 then
Employees (5.A)5 as of Mar 26, 2020
Apr 1, 201314 then
Private funds1 as of Mar 26, 2020
Mar 30, 20122 then
RAUM -8.3% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 27, 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
$28.9MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.3%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
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
  • Pooled investment vehicles$86.7M100%
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
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
      C••••• R•••••••• O••••••• M••••• F•••• L•••Hedge Fund$90.1M6Mar 30, 2012
      C••••• E••••• O••••••• M••••• F•••• L•••no longer reportedHedge Fund$1.5M0Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• G••••••• P••• · Chief Financial Officer/Chief Compliance Officercontrol
        since 01/2013 · owns 5% to 10%
      • M••••••• M••••••• M•••• · Chief Operating Officercontrol
        since 03/2012 · owns 10% to 25%
      • V•• M••••••• E••••• H••• · L•••••• Partnercontrol
        since 10/2005 · owns 25% to 50%
      • V•• M••••••• E••••• H••• · Managing Membercontrol
        since 04/2003 · owns 50% to 75% of C••••••• C••••••• L••
      • V•• M••••••• R•••••• A•••••••• · Managing Membercontrol
        since 01/2010 · owns 75% or more of D•••••••• L••
      Entity owners
      • C••••••• C••••••• L•• · General Partner
        direct · owns less than 5%
      • D•••••••• L•• · L•••••• Partner
        direct · owns 25% to 50%
      • D•••••••• L•• · Managing Member
        indirect · owns 50% to 75% of C••••••• C••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $94.5M to $86.7M
        Apr 10, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $94.5M to $86.7M
        Apr 10, 2019 to Mar 26, 2020
      • RAUM · $94.5M to $86.7M
        Apr 10, 2019 to Mar 26, 2020
      • Accounts · 2 to 3
        Oct 1, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 2 to 3
        Oct 1, 2018 to Mar 28, 2019
      • Discretionary RAUM · $127M to $94.5M
        Oct 1, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $127M to $94.5M
        Oct 1, 2018 to Mar 28, 2019
      • RAUM · $127M to $94.5M
        Oct 1, 2018 to Mar 28, 2019
      • Accounts · 4 to 2
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 3
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 9 to 5
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Private funds · 2 to 1
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $184M to $127M
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 126812073.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $184M to $127M
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 10 to 9
        Apr 5, 2016 to Mar 30, 2017
      • Discretionary RAUM · $203M to $184M
        Apr 5, 2016 to Mar 30, 2017
      • RAUM · $203M to $184M
        Apr 5, 2016 to Mar 30, 2017
      • Discretionary RAUM · $407M to $203M
        Sep 30, 2015 to Mar 29, 2016
      • RAUM · $407M to $203M
        Sep 30, 2015 to Mar 29, 2016
      • Advisory employees · 8 to 6
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 12 to 10
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $608M to $407M
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $608M to $407M
        Mar 31, 2014 to Mar 27, 2015
      • Related bank · false to true
        Mar 31, 2014 to Mar 27, 2015
      • Assets in custody · 0.0 to unset
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 14 to 12
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $967M to $608M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $967M to $608M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 8.0
        Mar 30, 2012 to Apr 1, 2013
      • Assets in custody · $1.3B to $0
        Mar 30, 2012 to Apr 1, 2013
      • Custody of client assets · true to false
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        Mar 30, 2012 to Apr 1, 2013
      • HQ city · unset to SAN FRANCISCO
        Mar 30, 2012 to Apr 1, 2013
      • HQ state · unset to CA
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.3B to $967M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $1.3B to $967M
        Mar 30, 2012 to Apr 1, 2013
      • Related bank · true to false
        Mar 30, 2012 to Apr 1, 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