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.
SEC-registered adviser
West Rim Capital Associates II, L.P.
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Oct 18, 2007
RAUM
$1.7B
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
30
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
22
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.7B as of Mar 30, 2026
Mar 30, 2012$457M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)30 as of Mar 30, 2026
Apr 1, 201341 then
Private funds22 as of Mar 30, 2026
Mar 30, 20125 then
RAUM +3.6% over the last fiscal year-2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $75.7MderivedRAUM 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
- +3.6%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
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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sorenson Capital Partners III, L.P. | Private Equity Fund | $329M | 59 | Mar 31, 2015 |
| Sorenson Capital Partners II Continuation Vehicle A, LP | Private Equity Fund | $283M | 39 | Mar 31, 2021 |
| Sorenson Capital Partners IV, LP | Private Equity Fund | $234M | 90 | Mar 30, 2022 |
| Sorenson Ventures, L.P. | Venture Capital Fund | $199M | 52 | Mar 30, 2018 |
| Sorenson Ventures II, LP | Venture Capital Fund | $152M | 95 | Mar 30, 2022 |
| Sorenson Capital Partners II Continuation Vehicle B, LP | Private Equity Fund | $108M | 11 | Mar 31, 2021 |
| Sorenson Capital Partners III-B, L.P. | Private Equity Fund | $78.4M | 15 | Mar 31, 2015 |
| Sorenson Ventures III, L.P. | Venture Capital Fund | $71.1M | 28 | Mar 28, 2024 |
| Sorenson Capital Partners IV-B, LP | Private Equity Fund | $53.8M | 21 | Mar 30, 2022 |
| Sorenson Ventures Opportunity Fund I, L.P. | Venture Capital Fund | $44.4M | 2 | Mar 26, 2020 |
| West Rim Capital Investment Partners II, LP | Private Equity Fund | $16.0M | 65 | Mar 30, 2012 |
| Sorenson Capital Investment Partners III, L.P. | Private Equity Fund | $10.3M | 55 | Mar 31, 2015 |
| Sorenson Capital Partners IV-A, LP | Private Equity Fund | $8.9M | 10 | Mar 30, 2022 |
| Sorenson Linksquares Spv LLC | Private Equity Fund | $8.0M | 5 | Mar 30, 2023 |
| Sorenson Capital Partners III-A, L.P. | Private Equity Fund | $7.6M | 15 | Mar 31, 2015 |
| Sorenson Ventures Investment Partners II, LP | Venture Capital Fund | $6.4M | 25 | Mar 30, 2022 |
| Sorenson Socure Spv LLC | Private Equity Fund | $5.8M | 10 | Mar 30, 2022 |
| Sorenson Ventures Investment Partners, L.P. | Venture Capital Fund | $5.7M | 39 | Mar 30, 2018 |
| West Rim Capital Partners II, LP | Private Equity Fund | $3.3M | 43 | Mar 30, 2012 |
| Sorenson Ventures II-A, LP | Venture Capital Fund | $1.6M | 6 | Mar 30, 2022 |
| Sorenson Capital Partners II, LP | Private Equity Fund | $915,619 | 12 | Mar 30, 2012 |
| Sorenson Capital Investment Partners IV, LP | Private Equity Fund | $724,100 | 13 | Mar 30, 2022 |
| West Rim Capital Partners II-B, LP | Private Equity Fund | $389,038 | 5 | Mar 30, 2012 |
| West Rim Capital Partners II-A, LP | Private Equity Fund | $80,293 | 8 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Fraser David Bullock · Limited Partner/Managing Directorcontrolsince 09/2007 · owns 10% to 25%
- Welker Tim Layton · Limited Partner/Managing Directorcontrolsince 09/2007 · owns 10% to 25%
- R. Mark Ludwig · Limited Partner/Managing Directorcontrolsince 01/2013 · owns 10% to 25%
- Paul Ronald Mika · Limited Partner/Managing Directorcontrolsince 09/2007 · owns 10% to 25%
- Thomas Larry Pierce · Chief Compliance Officer, Chief Financial Officercontrolsince 05/2020 · owns less than 5%
- Luke James Sorenson · Limited Partner/Managing Directorcontrolsince 09/2007 · owns 10% to 25%
- Reed Brady Broadbent · Member/Managercontrolsince 01/2021 · owns F of West Rim Capital Advisors, LLC
- Fraser David Bullock · Member/Managercontrolsince 09/2007 · owns F of West Rim Capital Advisors, LLC
- Martin Burke Davis · Member/Managercontrolsince 01/2021 · owns F of West Rim Capital Advisors, LLC
- Mark Kenneth Elefant · Member/Managercontrolsince 01/2021 · owns F of West Rim Capital Advisors, LLC
- Welker Tim Layton · Member/Managercontrolsince 09/2007 · owns F of West Rim Capital Advisors, LLC
- R. Mark Ludwig · Member/Managercontrolsince 01/2013 · owns F of West Rim Capital Advisors, LLC
- Paul Ronald Mika · Member/Managercontrolsince 09/2007 · owns F of West Rim Capital Advisors, LLC
- Joseph Robert Rueckert · Member/Managercontrolsince 09/2007 · owns F of West Rim Capital Advisors, LLC
Entity owners
- West Rim Capital Advisors, LLC · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Sorenson Capital Associates III, LPpooled vehicle sponsorn
- Sorenson Capital Associates IV, LPpooled vehicle sponsorn
- Sorenson Capital Partners II Continuation Vehicle Gp, LPpooled vehicle sponsorn
- Sorenson Linksquares Spv Gp, LPpooled vehicle sponsorn
- Sorenson Socure Spv Gp, LPpooled vehicle sponsorn
- Sorenson Ventures Advisors, L.P.investment advisern
- Sorenson Ventures Associates II, L.P.pooled vehicle sponsorn
- Sorenson Ventures Associates III, L.P.pooled vehicle sponsorn
- Sorenson Ventures Associates, L.P.pooled vehicle sponsorn
- West Rim Capital Advisors, L.P.investment advisern
- West Rim II Advisors, L.P.pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Palo Alto, CA5 employees
What changed
consecutive filings, newest first
- Employees · 33 to 30Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- RAUM · $1.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- Accounts · 20 to 22Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 20 to 22Mar 28, 2024 to Mar 31, 2025
- Employees · 29 to 33Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 20 to 22Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $1.6BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $1.6BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.6B to $1.6BMar 28, 2024 to Mar 31, 2025
- Accounts · 19 to 20Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 21 to 20Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 19 to 20Mar 30, 2023 to Mar 28, 2024
- Private funds · 19 to 20Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.8B to $1.6BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.8B to $1.6BMar 30, 2023 to Mar 28, 2024
- RAUM · $1.8B to $1.6BMar 30, 2023 to Mar 28, 2024
- Accounts · 22 to 19Mar 6, 2023 to Mar 30, 2023
- Advisory employees · 19 to 21Mar 6, 2023 to Mar 30, 2023
- Pooled vehicle clients · 22 to 19Mar 6, 2023 to Mar 30, 2023
- Employees · 28 to 29Mar 6, 2023 to Mar 30, 2023
- Private funds · 22 to 19Mar 6, 2023 to Mar 30, 2023
- Discretionary RAUM · $2.1B to $1.8BMar 6, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $2.1B to $1.8BMar 6, 2023 to Mar 30, 2023
- RAUM · $2.1B to $1.8BMar 6, 2023 to Mar 30, 2023
- Accounts · 14 to 22Feb 22, 2022 to Mar 30, 2022
- Pooled vehicle clients · 14 to 22Feb 22, 2022 to Mar 30, 2022
- Employees · 25 to 28Feb 22, 2022 to Mar 30, 2022
- Private funds · 14 to 22Feb 22, 2022 to Mar 30, 2022
- Discretionary RAUM · $1.2B to $2.1BFeb 22, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $1.2B to $2.1BFeb 22, 2022 to Mar 30, 2022
- RAUM · $1.2B to $2.1BFeb 22, 2022 to Mar 30, 2022
- Accounts · 12 to 14Jun 12, 2020 to Mar 31, 2021
- Advisory employees · 21 to 19Jun 12, 2020 to Mar 31, 2021
- Pooled vehicle clients · 12 to 14Jun 12, 2020 to Mar 31, 2021
- Employees · 35 to 25Jun 12, 2020 to Mar 31, 2021
- Private funds · 12 to 14Jun 12, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.3B to $1.2BJun 12, 2020 to Mar 31, 2021
Signals
7 dated events
- West Rim Capital Associates Ii, L.P. reported RAUM $2.1B, up 70% from $1.2B (2022-02-22 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Mark Kenneth Elefant (Member/Manager) appeared on Schedule A of West Rim Capital Associates Ii, L.P.Mar 30, 2022 · Control person joined · fact
- Martin Burke Davis (Member/Manager) appeared on Schedule A of West Rim Capital Associates Ii, L.P.Mar 30, 2022 · Control person joined · fact
- Reed Brady Broadbent (Member/Manager) appeared on Schedule A of West Rim Capital Associates Ii, L.P.Mar 30, 2022 · Control person joined · fact
- Joseph Robert Rueckert (Member/Manager) appeared on Schedule A of West Rim Capital Associates Ii, L.P.Mar 31, 2021 · Control person joined · fact
- E Brian Dunn (Cco) no longer on Schedule A of West Rim Capital Associates Ii, L.P. (listed 2020-03-26, absent 2020-06-12)Jun 12, 2020 · Control person left · inference
- Thomas Larry Pierce (Chief Compliance Officer, Chief Financial Officer) appeared on Schedule A of West Rim Capital Associates Ii, L.P.Jun 12, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- West Rim Capital Associates Ii, L.P. · Independent Sponsorsshared crd · capital_provider
- West Rim Capital Associates II, L.P. · Private Equityshared crd · organization
- West Rim Capital Associates II, L.P. · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/SORENSON-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- SORENSONCAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 801-407-8400reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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