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

I••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserMenlo Park, CaliforniaCRD 141060SEC 801-66929IAPD
Latest filing May 30, 2023
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$170M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
98%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$170M as of Mar 14, 2023
Mar 30, 2012$179M then
HNW client RAUM$161M as of Mar 14, 2023
Mar 30, 2018$129M then
State-registered IARs (5.B.3)3 as of Mar 14, 2023
Mar 30, 20120 then
Employees (5.A)4 as of Mar 14, 2023
Apr 1, 20136 then
Private funds: no history
RAUM -11% over the last fiscal year+0.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 30, 2023; every figure names its basis
RAUM per advisor
$56.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$403,947derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$56.4M, 38 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$161M96%
  • Individuals$5.3M3.2%
  • Pension and profit-sharing plans$1.8M1.1%
  • Corporations and businesses$71,1150.0%
Individual clients
19reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
421reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$56.4M for 38 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••• J•••••••• H••••• · Managing Member, Partner, Chief Compliance Officercontrol
      since 05/2006 · owns 50% to 75%
    • S•••••• J••••• A•• · Managing Member, Partnercontrol
      since 05/2006 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Mar 14, 2023 to May 30, 2023
    • HNW clients · 51 to 52
      Nov 11, 2022 to Mar 14, 2023
    • Individual clients · 18 to 19
      Nov 11, 2022 to Mar 14, 2023
    • Assets in custody · $72.6M to $56.4M
      Nov 11, 2022 to Mar 14, 2023
    • Discretionary RAUM · $180M to $163M
      Nov 11, 2022 to Mar 14, 2023
    • HNW RAUM · $181M to $161M
      Nov 11, 2022 to Mar 14, 2023
    • Individual RAUM · $5.2M to $5.3M
      Nov 11, 2022 to Mar 14, 2023
    • Non-discretionary RAUM · $10.7M to $7.3M
      Nov 11, 2022 to Mar 14, 2023
    • Pension RAUM · $2.0M to $1.8M
      Nov 11, 2022 to Mar 14, 2023
    • RAUM · $191M to $170M
      Nov 11, 2022 to Mar 14, 2023
    • Accounts · 419 to 421
      Nov 5, 2021 to Feb 22, 2022
    • Corporate clients · 2.0 to unset
      Nov 5, 2021 to Feb 22, 2022
    • HNW clients · 56 to 51
      Nov 5, 2021 to Feb 22, 2022
    • Individual clients · 17 to 18
      Nov 5, 2021 to Feb 22, 2022
    • Pension plan clients · 1.0 to unset
      Nov 5, 2021 to Feb 22, 2022
    • Assets in custody · unset to 72556818.0
      Nov 5, 2021 to Feb 22, 2022
    • Custody of client assets · false to true
      Nov 5, 2021 to Feb 22, 2022
    • Employees · 5 to 4
      Nov 5, 2021 to Feb 22, 2022
    • Discretionary RAUM · $169M to $180M
      Nov 5, 2021 to Feb 22, 2022
    • HNW RAUM · $169M to $181M
      Nov 5, 2021 to Feb 22, 2022
    • Individual RAUM · $2.7M to $5.2M
      Nov 5, 2021 to Feb 22, 2022
    • Non-discretionary RAUM · $7.0M to $10.7M
      Nov 5, 2021 to Feb 22, 2022
    • Pension RAUM · $1.6M to $2.0M
      Nov 5, 2021 to Feb 22, 2022
    • RAUM · $176M to $191M
      Nov 5, 2021 to Feb 22, 2022
    • Accounts · 436 to 419
      Jun 30, 2020 to Mar 26, 2021
    • HNW clients · 58 to 56
      Jun 30, 2020 to Mar 26, 2021
    • Individual clients · 13 to 17
      Jun 30, 2020 to Mar 26, 2021
    • State-registered IARs · 2 to 3
      Jun 30, 2020 to Mar 26, 2021
    • Discretionary RAUM · $159M to $169M
      Jun 30, 2020 to Mar 26, 2021
    • HNW RAUM · $158M to $169M
      Jun 30, 2020 to Mar 26, 2021
    • Individual RAUM · $3.5M to $2.7M
      Jun 30, 2020 to Mar 26, 2021
    • Non-discretionary RAUM · $6.6M to $7.0M
      Jun 30, 2020 to Mar 26, 2021
    • Pension RAUM · $1.4M to $1.6M
      Jun 30, 2020 to Mar 26, 2021
    • RAUM · $166M to $176M
      Jun 30, 2020 to Mar 26, 2021
    • Accounts · 448 to 436
      Apr 1, 2019 to May 15, 2020
    • Discretionary RAUM · $127M to $159M
      Apr 1, 2019 to May 15, 2020
    • HNW RAUM · $129M to $158M
      Apr 1, 2019 to May 15, 2020
    • Individual RAUM · $2.9M to $3.5M
      Apr 1, 2019 to May 15, 2020
    • Non-discretionary RAUM · $8.5M to $6.6M
      Apr 1, 2019 to May 15, 2020
    • Pension RAUM · $1.2M to $1.4M
      Apr 1, 2019 to May 15, 2020
    Signals
    3 dated events
    • J•••• A•• S••••• left I••••••••• C•••••• M••••••••• L•• for F•••• F•••••••• M••••••••• L• (registered 2023-05-11)
      Aug 1, 2023 · Advisor changed firm · fact
    • J••••••• H••••• C••• left I••••••••• C•••••• M••••••••• L•• for F•••• F•••••••• M••••••••• L• (registered 2026-01-07)
      Aug 1, 2023 · Advisor changed firm · fact
    • 2 advisors left I••••••••• C•••••• M••••••••• L•• (Menlo Park, CA) for F•••• F•••••••• M••••••••• L• on the same day
      Aug 1, 2023 · Team lift-out · 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