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

R•••••• A•••• M••••••••• I•••

Former SEC-registered adviserMill Valley, CaliforniaCRD 147579SEC 801-70040IAPD
Latest filing Mar 20, 2017
First filing on the tape Mar 20, 2012 · 10 filings
RAUM
$138M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$138M gross assets
History
10 filings and snapshots on the tape
RAUM$138M as of Mar 14, 2017
Mar 20, 2012$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2017
Mar 20, 20120 then
Employees (5.A)5 as of Mar 14, 2017
Mar 14, 201313 then
Private funds8 as of Mar 14, 2017
Mar 20, 20129 then
RAUM -28% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
$17.3MderivedRAUM 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
-28%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 assetsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      A••••• C•• 5• L•••Securitized Asset Fund$22.2M15Mar 20, 2012
      A••••• C•• 1•• L•••Securitized Asset Fund$20.0M18Mar 20, 2012
      A••••• C•• 7• L•••Securitized Asset Fund$17.8M27Mar 20, 2012
      A••••• O••••• A•• 1• C••• L•••no longer reportedSecuritized Asset Fund$10.9M10Mar 20, 2012
      A••••• C•• 1•• L•••Securitized Asset Fund$10.2M30Mar 20, 2012
      A••••• C•• 1•• L•••Securitized Asset Fund$8.2M21Mar 20, 2012
      A••••• C•• 8• L•••Securitized Asset Fund$7.3M21Mar 20, 2012
      A••••• C•• 9• L•••Securitized Asset Fund$7.1M19Mar 20, 2012
      A••••• C•• C•• 1• L•••Securitized Asset Fund$427,80622Mar 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• M•••••• S••••• · Board Member, Chairman And Chief Executive Officercontrol
        since 07/2008 · owns less than 5%
      • S••••• A•••••• P•••••• · Chief Legal Officer And Chief Compliance Officercontrol
        since 03/2009 · owns less than 5%
      Entity owners
      • R•••••• T••••• I••• · Shareholder
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      • R•••••• C••••••••• M••••••• C•••••••••
        investment companyn
      • R•••••• R••••••••• A••••••••• C•••••••••
        investment companyn
      • R•••••• T••••• I•••
        banky
      • R•• F••••••••• L••
        real estaten
      • R•• H•••••••• I•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $192M to $138M
        Mar 17, 2016 to Mar 14, 2017
      • RAUM · $192M to $138M
        Mar 17, 2016 to Mar 14, 2017
      • Employees · 8 to 5
        Mar 13, 2015 to Mar 17, 2016
      • Discretionary RAUM · $225M to $192M
        Mar 13, 2015 to Mar 17, 2016
      • RAUM · $225M to $192M
        Mar 13, 2015 to Mar 17, 2016
      • Advisory employees · 5 to 4
        Jul 22, 2014 to Mar 13, 2015
      • Employees · 9 to 8
        Jul 22, 2014 to Mar 13, 2015
      • Discretionary RAUM · $242M to $225M
        Jul 22, 2014 to Mar 13, 2015
      • RAUM · $242M to $225M
        Jul 22, 2014 to Mar 13, 2015
      • Advisory employees · 6 to 5
        Mar 14, 2013 to Mar 3, 2014
      • Employees · 13 to 9
        Mar 14, 2013 to Mar 3, 2014
      • Discretionary RAUM · $245M to $242M
        Mar 14, 2013 to Mar 3, 2014
      • RAUM · $245M to $242M
        Mar 14, 2013 to Mar 3, 2014
      • Accounts · 9 to 8
        Mar 20, 2012 to Mar 14, 2013
      • Advisory employees · unset to 6.0
        Mar 20, 2012 to Mar 14, 2013
      • Employees · unset to 13.0
        Mar 20, 2012 to Mar 14, 2013
      • Private funds · 9 to 8
        Mar 20, 2012 to Mar 14, 2013
      • Discretionary RAUM · $178M to $245M
        Mar 20, 2012 to Mar 14, 2013
      • RAUM · $178M to $245M
        Mar 20, 2012 to Mar 14, 2013
      • Related bank · false to true
        Mar 20, 2012 to Mar 14, 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