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
F•••••••• C•••••• M••••••••• I•••
Latest filing Jul 31, 2026
First filing on the tape Jan 25, 2012 · 19 filings
SEC status approved since Jul 9, 2009
RAUM
$58.6M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$58.6M as of Jul 31, 2026
Jan 25, 2012$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jul 31, 2026
Jan 25, 20120 then
Employees (5.A)5 as of Jul 31, 2026
Mar 25, 201312 then
Private funds: 1
RAUM +15% over the last fiscal year-23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
- RAUM per advisor
- $29.3MderivedRAUM 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
- $19.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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 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$58.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- 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=2.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• V•••••• P•••••••• L•••no longer reported | Venture Capital Fund | $50,000 | 1 | Jan 25, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• O•••• N••••••• · Chief Operating Officercontrolsince 02/2010 · owns less than 5%
- L•••••• K••••• M•••••• · President/Director/Ceo/Portfolio Managercontrolsince 05/2009 · owns 75% or more
- L••••• K•••••• K••••• · Managing Director, General Counsel & Chief Compliance Officercontrolsince 07/2009 · owns less than 5%
Related persons
Schedule D 7.A
- F•••••••• V•••••• A••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $51.1M to $58.6MMar 28, 2025 to Mar 25, 2026
- RAUM · $51.1M to $58.6MMar 28, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $86.1M to $51.1MMar 29, 2024 to Mar 28, 2025
- RAUM · $86.1M to $51.1MMar 29, 2024 to Mar 28, 2025
- Employees · 7 to 5Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $128M to $86.1MMar 30, 2023 to Mar 29, 2024
- RAUM · $128M to $86.1MMar 30, 2023 to Mar 29, 2024
- Advisory employees · 3 to 2Mar 30, 2022 to Mar 30, 2023
- Employees · 11 to 7Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $390M to $128MMar 30, 2022 to Mar 30, 2023
- RAUM · $390M to $128MMar 30, 2022 to Mar 30, 2023
- Employees · 12 to 11Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $490M to $390MMar 30, 2021 to Mar 30, 2022
- RAUM · $490M to $390MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $388M to $490MMar 30, 2020 to Mar 30, 2021
- RAUM · $388M to $490MMar 30, 2020 to Mar 30, 2021
- Other offices · 1 to 0Apr 1, 2019 to Mar 30, 2020
- Discretionary RAUM · $354M to $388MApr 1, 2019 to Mar 30, 2020
- RAUM · $354M to $388MApr 1, 2019 to Mar 30, 2020
- Discretionary RAUM · $304M to $354MMar 31, 2018 to Apr 1, 2019
- RAUM · $304M to $354MMar 31, 2018 to Apr 1, 2019
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 31, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Mar 31, 2018
- HNW clients · unset to 0.0Mar 30, 2017 to Mar 31, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Mar 31, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 0.0Mar 30, 2017 to Mar 31, 2018
- Other offices · unset to 1.0Mar 30, 2017 to Mar 31, 2018
- Discretionary RAUM · $231M to $304MMar 30, 2017 to Mar 31, 2018
- RAUM · $231M to $304MMar 30, 2017 to Mar 31, 2018
- Discretionary RAUM · $288M to $231MMar 29, 2016 to Mar 30, 2017
- RAUM · $288M to $231MMar 29, 2016 to Mar 30, 2017
- Employees · 13 to 12Jul 28, 2015 to Mar 29, 2016
- Discretionary RAUM · $328M to $288MJul 28, 2015 to Mar 29, 2016
- RAUM · $328M to $288MJul 28, 2015 to Mar 29, 2016
- Employees · 12 to 13Jan 13, 2015 to Mar 18, 2015
- Discretionary RAUM · $369M to $328MJan 13, 2015 to Mar 18, 2015
- RAUM · $369M to $328MJan 13, 2015 to Mar 18, 2015
- Advisory employees · 2 to 3Mar 31, 2014 to Jan 13, 2015
Signals
2 dated events
- F•••••••• C•••••• M••••••••• I••• reported RAUM $127.9M, down 67% from $390.0M (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- F•••••••• C•••••• M••••••••• I••• reported RAUM $489.5M, up 26% from $388.3M (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- F•••••••• C•••••• M••••••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/F••••••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- F••••••••TVF.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 408-886-7096reportedpublic record, Form ADV, Jul 31, 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