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•••••• M••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 138971SEC 801-65470IAPD
Latest filing Mar 30, 2017
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$176M
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$176M gross assets
History
16 filings and snapshots on the tape
RAUM$176M as of Mar 30, 2017
Mar 30, 2012$432M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Apr 1, 20130 then
Employees (5.A)6 as of Mar 30, 2017
Apr 1, 201310 then
Private funds1 as of Mar 30, 2017
Mar 30, 20123 then
RAUM -17% over the last fiscal year-0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$58.6MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, publications, otherreportedItem 5.G
Custody
$176M, 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
  • 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)
  • 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
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$176M for 3 clientsreported
Compensation
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• M•••• I••••••••• L•••no longer reportedHedge Fund$259M1Mar 30, 2012
      C•••••• L•Hedge Fund$176M54Mar 30, 2012
      C•••••• M••••••••• F••• L•••no longer reportedHedge Fund$38.0M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• M•••••••• E•••••• · Chief Financial Officercontrol
        since 02/2015 · owns less than 5%
      • S••••• B••••• E••• · Managing Director & General Counselcontrol
        since 07/2012 · owns less than 5%
      • T••••• P••••• A•••••• · Presidentcontrol
        since 10/2002 · owns less than 5%
      • V•• V••••• T••••••• F•••••• · Chief Compliance Officercontrol
        since 06/2014 · owns less than 5%
      • T••••• P••••• A•••••• · Managing Membercontrol
        since 11/2011 · owns 75% or more of T•••• C•••••• L••
      Entity owners
      • T•••• C•••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••••• E••••• P••••••• ••• L••••••
        investment adviserpooled vehicle sponsorn
      • C•••••••• E••••• P••••••• L••••••
        investment adviserpooled vehicle sponsorn
      • F••••••• F••• L••
        investment adviserpooled vehicle sponsorn
      • M•••••• G• L••
        investment adviserpooled vehicle sponsorn
      • O••••• J•••• C••• L•••
        investment adviserinvestment companyn
      • T•• F••••••• F••• A•••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•• F••••••• F••• I• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•• F••••••• F••• I•• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•• F••••••• F••• I• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•• F••••••• F••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•• F••••••• F••• V• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•• F••••••• F••• V• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • V•••• N• L••
        pooled vehicle sponsorn
      • V•••• V••••••• G• L••
        investment adviserpooled vehicle sponsorn
      • V•••• V•••••••
        investment adviserpooled vehicle sponsorn
      • V• G• L••
        investment adviserpooled vehicle sponsorn
      • V• G••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 6
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $212M to $176M
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 5 to 6
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $212M to $176M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $212M to $176M
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 6 to 5
        Oct 9, 2015 to Mar 30, 2016
      • Advisory activities · 3 to 4
        Oct 9, 2015 to Mar 30, 2016
      • Assets in custody · $215M to $212M
        Oct 9, 2015 to Mar 30, 2016
      • Employees · 6 to 5
        Oct 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $215M to $212M
        Oct 9, 2015 to Mar 30, 2016
      • RAUM · $215M to $212M
        Oct 9, 2015 to Mar 30, 2016
      • Related bank · true to false
        Oct 9, 2015 to Mar 30, 2016
      • Advisory employees · 7 to 6
        Feb 12, 2015 to Mar 31, 2015
      • Assets in custody · $177M to $215M
        Feb 12, 2015 to Mar 31, 2015
      • Employees · 7 to 6
        Feb 12, 2015 to Mar 31, 2015
      • Discretionary RAUM · $177M to $215M
        Feb 12, 2015 to Mar 31, 2015
      • RAUM · $177M to $215M
        Feb 12, 2015 to Mar 31, 2015
      • Advisory employees · 5 to 7
        Feb 7, 2014 to Mar 31, 2014
      • Assets in custody · $138M to $177M
        Feb 7, 2014 to Mar 31, 2014
      • Employees · 10 to 7
        Feb 7, 2014 to Mar 31, 2014
      • Discretionary RAUM · $138M to $177M
        Feb 7, 2014 to Mar 31, 2014
      • RAUM · $138M to $177M
        Feb 7, 2014 to Mar 31, 2014
      • Accounts · 5 to 3
        Jan 10, 2013 to Apr 1, 2013
      • Advisory employees · 20 to 5
        Jan 10, 2013 to Apr 1, 2013
      • Assets in custody · $432M to $138M
        Jan 10, 2013 to Apr 1, 2013
      • Employees · 20 to 10
        Jan 10, 2013 to Apr 1, 2013
      • Private funds · 3 to 1
        Jan 10, 2013 to Apr 1, 2013
      • Discretionary RAUM · $432M to $138M
        Jan 10, 2013 to Apr 1, 2013
      • RAUM · $432M to $138M
        Jan 10, 2013 to Apr 1, 2013
      • Related bank · false to true
        Jan 10, 2013 to Apr 1, 2013
      • Related insurance company · true to false
        Jan 10, 2013 to Apr 1, 2013
      • Advisory employees · unset to 20.0
        Aug 1, 2012 to Jan 10, 2013
      • Employees · unset to 20.0
        Aug 1, 2012 to Jan 10, 2013
      • State-registered IARs · unset to 0.0
        Aug 1, 2012 to Jan 10, 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