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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SEC-registered adviser
D•••••• C•••••• M••••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Mar 30, 2016 · 17 filings
SEC status approved since Apr 4, 2016
RAUM
$813M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$813M as of Mar 26, 2026
Mar 31, 2017$346M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 31, 20171 then
Employees (5.A)3 as of Mar 26, 2026
Mar 31, 20172 then
Private funds2 as of Mar 26, 2026
Mar 31, 20173 then
RAUM -18% over the last fiscal year-4.8% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Sep 4, 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
- $406MderivedRAUM 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
- -18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 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
- $491M, 2 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$813M100%
- 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
- $491M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd= related_bank= 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• P••••••• Q•• L• | Hedge Fund | $1.1B | 21 | Mar 30, 2016 |
| D•••••• P••••••• Q• •••••••• L•••no longer reported | Hedge Fund | $105M | 4 | Mar 30, 2016 |
| D•••••• P•••••••• L• | Hedge Fund | $79.1M | 33 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• S•••••• R•••••• · Ceo, Chief Compliance Officercontrolsince 11/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 26, 2026 to Sep 4, 2026
- Private funds · 2 to unsetMar 26, 2026 to Sep 4, 2026
- Related adviser · false to unsetMar 26, 2026 to Sep 4, 2026
- Related bank · false to unsetMar 26, 2026 to Sep 4, 2026
- Related broker-dealer · false to unsetMar 26, 2026 to Sep 4, 2026
- Related insurance company · false to unsetMar 26, 2026 to Sep 4, 2026
- Succession · false to unsetMar 26, 2026 to Sep 4, 2026
- Assets in custody · $497M to $491MMar 26, 2025 to Mar 26, 2026
- State-registered IARs · 1 to 0Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $988M to $813MMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $988M to $813MMar 26, 2025 to Mar 26, 2026
- RAUM · $988M to $813MMar 26, 2025 to Mar 26, 2026
- Assets in custody · $612M to $497MMar 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.1B to $988MMar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.1B to $988MMar 26, 2024 to Mar 26, 2025
- RAUM · $1.1B to $988MMar 26, 2024 to Mar 26, 2025
- Assets in custody · $579M to $612MMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $943M to $1.1BMar 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $943M to $1.1BMar 30, 2023 to Mar 26, 2024
- RAUM · $943M to $1.1BMar 30, 2023 to Mar 26, 2024
- Assets in custody · $420M to $579MMar 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $710M to $943MMar 25, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $710M to $943MMar 25, 2022 to Mar 30, 2023
- RAUM · $710M to $943MMar 25, 2022 to Mar 30, 2023
- Assets in custody · $330M to $420MMar 22, 2021 to Mar 25, 2022
- Discretionary RAUM · $655M to $710MMar 22, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $655M to $710MMar 22, 2021 to Mar 25, 2022
- RAUM · $655M to $710MMar 22, 2021 to Mar 25, 2022
- Assets in custody · $434M to $330MMar 27, 2020 to Mar 22, 2021
- Discretionary RAUM · $766M to $655MMar 27, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $766M to $655MMar 27, 2020 to Mar 22, 2021
- RAUM · $766M to $655MMar 27, 2020 to Mar 22, 2021
- Accounts · 3 to 2Mar 28, 2019 to Mar 27, 2020
- Pooled vehicle clients · 3 to 2Mar 28, 2019 to Mar 27, 2020
- Assets in custody · $358M to $434MMar 28, 2019 to Mar 27, 2020
- Private funds · 3 to 2Mar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $664M to $766MMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $664M to $766MMar 28, 2019 to Mar 27, 2020
- RAUM · $664M to $766MMar 28, 2019 to Mar 27, 2020
Signals
3 dated events
- D•••••• C•••••• M••••••••• L•• reported RAUM $943.5M, up 33% from $709.8M (2022-03-25 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- D•••••• C•••••• M••••••••• L•• reported RAUM $634.9M, up 83% from $346.5M (2017-03-31 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
- D•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- (415) 418-2201reportedpublic record, Form ADV, Sep 4, 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