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

W•••••••• A•••• M••••••••• L•••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 140092SEC 801-66873IAPD
Latest filing Mar 28, 2017
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$175M
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
7
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$193M gross assets
History
9 filings and snapshots on the tape
RAUM$175M as of Mar 28, 2017
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 28, 20130 then
Employees (5.A)7 as of Mar 28, 2017
Mar 28, 201327 then
Private funds5 as of Mar 28, 2017
Mar 30, 20126 then
RAUM -80% over the last fiscal year-47% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
$14.6MderivedRAUM 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
-80%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••••••• C•••••• I••••••••• P•••••••• L•••no longer reportedHedge Fund$609M56Mar 30, 2012
      W•••••••• C•••••• P•••••••• L•••no longer reportedHedge Fund$221M54Mar 30, 2012
      W•••••••• C•••••• I••••••••• P••••••• I•• L•••no longer reportedHedge Fund$94.1M1Mar 30, 2012
      W•••••••• C•••••• P••••••• ••••••••• M••••• F•••• L•••Hedge Fund$88.2M113Mar 30, 2012
      W•••••••• C•••••• P••••••• I•• L•••no longer reportedHedge Fund$79.5M1Mar 30, 2012
      W•••••••• C•••••• I••••••••• P••••••• I••• L•••Hedge Fund$12.5M3Mar 31, 2014
      W•••••••• C•••••• P••••••• ••••••••• M••••• F••• I•• L•••Hedge Fund$11.4M5Mar 30, 2012
      W•••••••• C•••••• P••••••• ••••••••• M••••• F••• I••• L•••Hedge Fund$4.8M5Mar 31, 2015
      W•••••••• C•••••• P••••••• ••••••••• M••••• F••• I•• L•••Hedge Fund$1.2M2Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• M••••••• F•••••• · General Counsel And Chief Compliance Officercontrol
        since 10/2011 · owns less than 5%
      • M••••• M••••••• A••• · Senior Managing Membercontrol
        since 04/2002 · owns 75% or more
      Related persons
      Schedule D 7.A
      • W• P•••••••• L•••••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 2
        Aug 30, 2016 to Mar 28, 2017
      • Employees · 22 to 7
        Aug 30, 2016 to Mar 28, 2017
      • Discretionary RAUM · $860M to $175M
        Aug 30, 2016 to Mar 28, 2017
      • RAUM · $860M to $175M
        Aug 30, 2016 to Mar 28, 2017
      • Accounts · 8 to 12
        Mar 31, 2015 to Mar 29, 2016
      • Advisory employees · 9 to 8
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 23 to 22
        Mar 31, 2015 to Mar 29, 2016
      • Private funds · 4 to 5
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.2B to $860M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $1.2B to $860M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 7 to 8
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 12 to 9
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 24 to 23
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 3 to 4
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.2B to $1.2B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $1.2B to $1.2B
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 6 to 7
        Feb 12, 2014 to Mar 31, 2014
      • Employees · 27 to 24
        Feb 12, 2014 to Mar 31, 2014
      • Private funds · 2 to 3
        Feb 12, 2014 to Mar 31, 2014
      • Discretionary RAUM · $1.3B to $1.2B
        Feb 12, 2014 to Mar 31, 2014
      • RAUM · $1.3B to $1.2B
        Feb 12, 2014 to Mar 31, 2014
      • Advisory employees · 13 to 12
        Jan 7, 2013 to Mar 28, 2013
      • Employees · 29 to 27
        Jan 7, 2013 to Mar 28, 2013
      • Private funds · 6 to 2
        Jan 7, 2013 to Mar 28, 2013
      • Discretionary RAUM · $1.5B to $1.3B
        Jan 7, 2013 to Mar 28, 2013
      • RAUM · $1.5B to $1.3B
        Jan 7, 2013 to Mar 28, 2013
      • Advisory employees · unset to 13.0
        Mar 30, 2012 to Jan 7, 2013
      • Employees · unset to 29.0
        Mar 30, 2012 to Jan 7, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Jan 7, 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