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

P•••••••• I•••••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 149193SEC 801-22799IAPD
Latest filing Mar 23, 2021
First filing on the tape Mar 9, 2012 · 24 filings
RAUM
$38B
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
53
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$38B as of Mar 23, 2021
Mar 9, 2012$5.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)19 as of Mar 23, 2021
Mar 9, 20120 then
Employees (5.A)53 as of Mar 23, 2021
Mar 12, 201337 then
Private funds: no history
RAUM +23% over the last fiscal year+13% a year over threeIARs 17 to 19
Practice profile
derived from the filing of Mar 23, 2021; every figure names its basis
RAUM per advisor
$2.0BderivedRAUM 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
$2.4BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
19.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+12%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • Investment companies$35B92%
  • Pooled investment vehicles$1.7B4.5%
  • Pension and profit-sharing plans$1.2B3.1%
  • Charitable organizations$168M0.4%
  • Corporations and businesses$43.9M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
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
    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
      • A••••••• T•••• C••••••••• · Vice President, Cio, Director And Ownercontrol
        since 08/2000 · owns 10% to 25%
      • A••••• B•••••••• E••••• · President, Ceo And Directorcontrol
        since 12/2008 · owns less than 5%
      • D•••••• J•••••• L•• · Director And Ownercontrol
        since 06/1984 · owns 50% to 75%
      • D•••••• T•••• N••••• · Directorcontrol
        since 06/1984 · owns less than 5%
      • M••••• M•••• C••• · Chief Financial Officer, Coo And Directorcontrol
        since 12/2007 · owns less than 5%
      • S•••••••• J•••• V•••• · Chief Compliance Officercontrol
        since 02/2008 · owns less than 5%
      • D•••••• S••••••• J••••• · Proxy Holder For D••••• Trusts
        since 11/2019 · owns 10% to 25%
      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
      • Accounts · 14 to 16
        Aug 3, 2020 to Mar 23, 2021
      • Advisory employees · 18 to 17
        Aug 3, 2020 to Mar 23, 2021
      • State-registered IARs · 17 to 19
        Aug 3, 2020 to Mar 23, 2021
      • Discretionary RAUM · $31B to $38B
        Aug 3, 2020 to Mar 23, 2021
      • Pension RAUM · $996M to $1.2B
        Aug 3, 2020 to Mar 23, 2021
      • Pooled vehicle RAUM · $1.2B to $1.7B
        Aug 3, 2020 to Mar 23, 2021
      • RAUM · $31B to $38B
        Aug 3, 2020 to Mar 23, 2021
      • Accounts · 12 to 14
        Jul 2, 2019 to Mar 17, 2020
      • Advisory employees · 15 to 18
        Jul 2, 2019 to Mar 17, 2020
      • BD registered reps · 37 to 39
        Jul 2, 2019 to Mar 17, 2020
      • Employees · 51 to 53
        Jul 2, 2019 to Mar 17, 2020
      • State-registered IARs · 16 to 17
        Jul 2, 2019 to Mar 17, 2020
      • Discretionary RAUM · $24B to $31B
        Jul 2, 2019 to Mar 17, 2020
      • Pension RAUM · $767M to $996M
        Jul 2, 2019 to Mar 17, 2020
      • Pooled vehicle RAUM · $545M to $1.2B
        Jul 2, 2019 to Mar 17, 2020
      • RAUM · $24B to $31B
        Jul 2, 2019 to Mar 17, 2020
      • Related broker-dealer · true to false
        Mar 26, 2019 to Jun 6, 2019
      • Accounts · 14 to 12
        May 1, 2018 to Mar 25, 2019
      • BD registered reps · 34 to 37
        May 1, 2018 to Mar 25, 2019
      • Pooled vehicle clients · 4 to 3
        May 1, 2018 to Mar 25, 2019
      • Employees · 47 to 51
        May 1, 2018 to Mar 25, 2019
      • State-registered IARs · 11 to 16
        May 1, 2018 to Mar 25, 2019
      • Discretionary RAUM · $26B to $24B
        May 1, 2018 to Mar 25, 2019
      • Pension RAUM · $772M to $767M
        May 1, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $392M to $545M
        May 1, 2018 to Mar 25, 2019
      • RAUM · $26B to $24B
        May 1, 2018 to Mar 25, 2019
      • Accounts · 15 to 14
        Mar 2, 2018 to May 1, 2018
      • Discretionary RAUM · $27B to $26B
        Mar 2, 2018 to May 1, 2018
      • Pension RAUM · $774M to $772M
        Mar 2, 2018 to May 1, 2018
      • Pooled vehicle RAUM · $403M to $392M
        Mar 2, 2018 to May 1, 2018
      • RAUM · $27B to $26B
        Mar 2, 2018 to May 1, 2018
      • Accounts · 16 to 15
        May 8, 2017 to Mar 2, 2018
      • Advisory activities · 2 to 3
        May 8, 2017 to Mar 2, 2018
      • Pooled vehicle clients · unset to 4.0
        May 8, 2017 to Mar 2, 2018
      • Other offices · unset to 0.0
        May 8, 2017 to Mar 2, 2018
      • Discretionary RAUM · $24B to $27B
        May 8, 2017 to Mar 2, 2018
      • Non-discretionary RAUM · $80.5M to $0
        May 8, 2017 to Mar 2, 2018
      • Pension RAUM · unset to 773977249.0
        May 8, 2017 to Mar 2, 2018
      • Pooled vehicle RAUM · unset to 402644644.0
        May 8, 2017 to Mar 2, 2018
      • RAUM · $24B to $27B
        May 8, 2017 to Mar 2, 2018
      Signals
      1 dated events
      • P•••••••• I••••••••• reported RAUM $31.0B, up 31% from $23.6B (2019-07-02 to 2020-03-17)
        Mar 17, 2020 · RAUM change · 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