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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

D•• I••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 144878SEC 801-69033IAPD
Latest filing Feb 20, 2014
First filing on the tape Dec 16, 2011 · 4 filings
RAUM
$340M
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$340M gross assets
History
4 filings and snapshots on the tape
RAUM$340M as of Feb 20, 2014
Mar 30, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 20, 2014
Mar 30, 20120 then
Employees (5.A)8 as of Feb 20, 2014
Mar 26, 20139 then
Private funds2 as of Feb 20, 2014
Mar 30, 20122 then
RAUM +51% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 20, 2014; 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
$170MderivedRAUM 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
+51%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
Custody
$225M, 2 clientsreportedItem 9.A
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
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$225M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•• E••••• F••• • B••• I• L•Venture Capital Fund$229M40Mar 30, 2012
      B•• A••• E••••• F••• I• L•Venture Capital Fund$033Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• N••••• E•••• · Managing Partnercontrol
        since 01/2008 · owns 25% to 50%
      • R••••• C••••••• J••••• · Managing Partnercontrol
        since 04/2008 · owns 25% to 50%
      • W•••• C••••• K••••••• · Chief Compliance Officercontrol
        since 01/2008 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B•• A••• E••••• F••• M••••••• I• L••
        pooled vehicle sponsorn
      • D•• E••••• F••• M••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 0 to 6
        Mar 26, 2013 to Feb 20, 2014
      • Employees · 9 to 8
        Mar 26, 2013 to Feb 20, 2014
      • Discretionary RAUM · $225M to $340M
        Mar 26, 2013 to Feb 20, 2014
      • RAUM · $225M to $340M
        Mar 26, 2013 to Feb 20, 2014
      • Advisory employees · unset to 0.0
        Mar 30, 2012 to Mar 26, 2013
      • Employees · unset to 9.0
        Mar 30, 2012 to Mar 26, 2013
      • Assets in custody · $96.0M to $225M
        Dec 16, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 16, 2011 to Mar 30, 2012
      • Private funds · unset to 2
        Dec 16, 2011 to Mar 30, 2012
      • Discretionary RAUM · $96.0M to $225M
        Dec 16, 2011 to Mar 30, 2012
      • RAUM · $96.0M to $225M
        Dec 16, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      DBLPARTNERS.VCreportedpublic record, Form ADV, Sep 18, 2026
      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