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Former SEC-registered adviser

V••••• P•••••• L•

Former SEC-registered adviserCRD 153611SEC 801-76575IAPD
Latest filing Sep 30, 2021
First filing on the tape Apr 16, 2012 · 21 filings
RAUM
$413M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$413M gross assets
History
21 filings and snapshots on the tape
RAUM$413M as of Mar 29, 2021
Mar 15, 2013$265M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 15, 20134 then
Employees (5.A)4 as of Mar 29, 2021
Mar 15, 20135 then
Private funds1 as of Mar 29, 2021
Mar 15, 20132 then
RAUM -28% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 2021; 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
$103MderivedRAUM 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$413M, 3 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$413M100%
  • Corporations and businesses$20.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$413M for 3 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••• P•••••• O••••••••• P••••••• I• M••••• ••••••• U••• T••••Hedge Fund$413M72Apr 16, 2012
      H••••••••• L•••no longer reportedHedge Fund$25.0M3Mar 15, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • L••• D•••••• D•• · Limited Partner, Chief Operating Officer, Chief Compliance Officercontrol
        since 06/2014 · owns 25% to 50%
      • S•••••• J•••• B•••••• · Head Of Business Developmentcontrol
        since 06/2014 · owns less than 5%
      • S•••••• S••••• C••••••••• · Chief Investment Officercontrol
        since 06/2014 · owns less than 5%
      • L••• D•••••• D•• · Managing Membercontrol
        since 06/2014 · owns 25% to 50% of V••••• P•••••• G•••••• P•••••• I• L••
      • S•••••• J•••• B•••••• · Trusteecontrol
        since 03/2011 · owns F of S••••• F••••• T•••• U•••• 3••••••••
      • S•••••• J•••• B•••••• · Managing Membercontrol
        since 06/2014 · owns 25% to 50% of V••••• P•••••• G•••••• P•••••• I• L••
      • S•••••• S••••• C••••••••• · Managing Membercontrol
        since 06/2014 · owns 25% to 50% of V••••• P•••••• G•••••• P•••••• I• L••
      • S•••••• S••••• C••••••••• · Trusteecontrol
        since 09/2009 · owns F of S••••• F••••• T•••• D•••• 0•••••••••
      Entity owners
      • S••••• F••••• T•••• U•••• 3•••••••• · Limited Partner
        direct · owns 25% to 50%
      • S••••• F••••• T•••• D•••• 0••••••••• · Limited Partner
        direct · owns 25% to 50%
      • V••••• P•••••• G•••••• P•••••• I• L•• · G•••••• Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • V••••• P•••••• G•••••• P•••••• I• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · SAN FRANCISCO to unset
        Mar 29, 2021 to Sep 30, 2021
      • HQ state · CA to unset
        Mar 29, 2021 to Sep 30, 2021
      • Assets in custody · $575M to $413M
        Mar 30, 2020 to Mar 29, 2021
      • Discretionary RAUM · $575M to $413M
        Mar 30, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $575M to $413M
        Mar 30, 2020 to Mar 29, 2021
      • RAUM · $575M to $413M
        Mar 30, 2020 to Mar 29, 2021
      • Assets in custody · $815M to $575M
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $815M to $575M
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $815M to $575M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $815M to $575M
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $915M to $815M
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $915M to $815M
        Mar 28, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $50.0M to $2
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $915M to $815M
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $965M to $815M
        Mar 28, 2018 to Mar 28, 2019
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Corporate clients · unset to 1.0
        Mar 29, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 29, 2017 to Mar 28, 2018
      • Assets in custody · $939M to $915M
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $939M to $915M
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 915287262.0
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $989M to $965M
        Mar 29, 2017 to Mar 28, 2018
      • Accounts · 5 to 4
        May 13, 2016 to Mar 29, 2017
      • Advisory employees · 4 to 3
        May 13, 2016 to Mar 29, 2017
      • Assets in custody · $605M to $939M
        May 13, 2016 to Mar 29, 2017
      • Private funds · 2 to 1
        May 13, 2016 to Mar 29, 2017
      • Discretionary RAUM · $605M to $939M
        May 13, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $75.0M to $50.0M
        May 13, 2016 to Mar 29, 2017
      • RAUM · $680M to $989M
        May 13, 2016 to Mar 29, 2017
      • Advisory employees · 3 to 4
        Mar 31, 2015 to Mar 29, 2016
      • Assets in custody · $578M to $605M
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $578M to $605M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $653M to $680M
        Mar 31, 2015 to Mar 29, 2016
      • Advisory employees · 2 to 3
        Mar 13, 2015 to Mar 31, 2015
      • Assets in custody · $418M to $578M
        Mar 13, 2015 to Mar 31, 2015
      • Employees · 3 to 4
        Mar 13, 2015 to Mar 31, 2015
      Signals
      3 dated events
      • V••••• P•••••• L• reported RAUM $412.9M, down 28% from $575.4M (2020-03-30 to 2021-03-29)
        Mar 29, 2021 · RAUM change · derived
      • V••••• P•••••• L• reported RAUM $575.4M, down 29% from $814.7M (2019-03-28 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • V••••• P•••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Aug 5, 2014 · Succession (Item 4) · fact
      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