DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

P•••• L•••• C••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 151321SEC 801-73291IAPD
Latest filing Mar 27, 2013
First filing on the tape Feb 10, 2012 · 5 filings
RAUM
$580M
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$1.1B gross assets
History
5 filings and snapshots on the tape
RAUM$580M as of Mar 27, 2013
Feb 10, 2012$465M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2013
Feb 10, 20120 then
Employees (5.A)9 as of Mar 27, 2013
Feb 14, 20138 then
Private funds7 as of Mar 27, 2013
Feb 10, 20127 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2013; 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
$82.9MderivedRAUM 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
unknownderivedbetween 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
Custody
$249M, 5 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$249M for 5 clientsreported
Compensation
% of AUM, performancereported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• L•••• M••••• F•••• L•••Hedge Fund$493M3Feb 10, 2012
      P•••• L•••• P•••••••• L•••Hedge Fund$369M50Feb 10, 2012
      P•••• L•••• P••••••• O•••••••• L•••Hedge Fund$124M6Feb 10, 2012
      P•••••• F••• A• ••••• L•••• C•••••Hedge Fund$77.1M4Feb 14, 2013
      P•••• L•••• S•••••• O••••••••• L••Hedge Fund$9.9M5Feb 10, 2012
      P•••• L•••• S•••••• O••••••••• I••• L••Hedge Fund$35,0008Feb 10, 2012
      P•••• L•••• S•••••• O••••••••• I•• L••Hedge Fund$12,5003Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• R•••• M••• · Manager, Membercontrol
        since 05/2009 · owns 75% or more
      • T•••••••• W••••••• E•••••• · Coo/Ccocontrol
        since 11/2009 · owns less than 5%
      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
      • Assets in custody · $214M to $249M
        Feb 14, 2013 to Mar 27, 2013
      • Employees · 8 to 9
        Feb 14, 2013 to Mar 27, 2013
      • State-registered IARs · 2 to 0
        Feb 14, 2013 to Mar 27, 2013
      • Discretionary RAUM · $465M to $580M
        Feb 14, 2013 to Mar 27, 2013
      • RAUM · $465M to $580M
        Feb 14, 2013 to Mar 27, 2013
      • Advisory employees · unset to 5.0
        Sep 28, 2012 to Feb 14, 2013
      • Employees · unset to 8.0
        Sep 28, 2012 to Feb 14, 2013
      • State-registered IARs · 0 to 2
        Sep 28, 2012 to Feb 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