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
M•••••• V•••• P•••••••• L••
Latest filing Jul 20, 2026
First filing on the tape Mar 28, 2012 · 29 filings
SEC status approved since Apr 22, 2010
RAUM
$303M
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
1
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$303M as of Jul 20, 2026
Mar 28, 2012$410M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 20, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Jul 20, 2026
Mar 21, 20138 then
Private funds2 as of Jul 20, 2026
Mar 28, 20123 then
RAUM +31% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 20, 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
- $75.8MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$262M86%
- Corporations and businesses$41.2M14%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.86 institutional_share=0.0 related_bd=false related_bank=false 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 |
|---|---|---|---|---|
| M•••••• V•••• G••••• F•••• L• | Hedge Fund | $102M | 15 | Mar 28, 2012 |
| M•••••• V•••• J•••• F••• O•••••••• L••• | Hedge Fund | $102M | 4 | Mar 28, 2012 |
| M•••••• V•••• J•••• F•••• L•no longer reported | Hedge Fund | $4.8M | 1 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• E•••••• A••••• · Managing Member/Presidentcontrolsince 04/2010 · owns 75% or more
- P•••••• M••••• K•••• · Chief Compliance Officersince 07/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Tokyo, Japan1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $231M to $303MApr 21, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $226M to $262MApr 21, 2025 to Mar 2, 2026
- RAUM · $231M to $303MApr 21, 2025 to Mar 2, 2026
- Financial planning clients · unset to Feb 28, 2025 to Apr 21, 2025
- Accounts · 3 to 4Jun 28, 2024 to Feb 28, 2025
- Discretionary RAUM · $318M to $231MJun 28, 2024 to Feb 28, 2025
- Pooled vehicle RAUM · $318M to $226MJun 28, 2024 to Feb 28, 2025
- RAUM · $318M to $231MJun 28, 2024 to Feb 28, 2025
- Accounts · 8 to 3Mar 24, 2023 to Mar 20, 2024
- Advisory activities · 3 to 2Mar 24, 2023 to Mar 20, 2024
- Pooled vehicle clients · 7 to 3Mar 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $507M to $318MMar 24, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $428M to $318MMar 24, 2023 to Mar 20, 2024
- RAUM · $507M to $318MMar 24, 2023 to Mar 20, 2024
- Accounts · 9 to 8Aug 22, 2022 to Mar 24, 2023
- Pooled vehicle clients · 8 to 7Aug 22, 2022 to Mar 24, 2023
- Employees · 5 to 4Aug 22, 2022 to Mar 24, 2023
- Other offices · 2 to 1Aug 22, 2022 to Mar 24, 2023
- Private funds · 3 to 2Aug 22, 2022 to Mar 24, 2023
- Discretionary RAUM · $725M to $507MAug 22, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $634M to $428MAug 22, 2022 to Mar 24, 2023
- RAUM · $725M to $507MAug 22, 2022 to Mar 24, 2023
- Accounts · 10 to 9Nov 2, 2021 to Mar 29, 2022
- Charity clients · 1.0 to unsetNov 2, 2021 to Mar 29, 2022
- Other offices · 0 to 2Nov 2, 2021 to Mar 29, 2022
- Discretionary RAUM · $868M to $725MNov 2, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $694M to $634MNov 2, 2021 to Mar 29, 2022
- RAUM · $868M to $725MNov 2, 2021 to Mar 29, 2022
- HQ city · SONOMA to NASHVILLEJun 4, 2021 to Nov 2, 2021
- HQ state · CA to TNJun 4, 2021 to Nov 2, 2021
- Other offices · 1 to 0Jun 4, 2021 to Nov 2, 2021
- Employees · 6 to 5Mar 19, 2021 to Jun 4, 2021
- Other offices · 0 to 1Mar 19, 2021 to Jun 4, 2021
- Accounts · 9 to 10Mar 18, 2020 to Mar 19, 2021
- Advisory activities · 2 to 3Mar 18, 2020 to Mar 19, 2021
- Charity clients · unset to 1.0Mar 18, 2020 to Mar 19, 2021
- Discretionary RAUM · $1.1B to $868MMar 18, 2020 to Mar 19, 2021
- Pooled vehicle RAUM · $961M to $694MMar 18, 2020 to Mar 19, 2021
- RAUM · $1.1B to $868MMar 18, 2020 to Mar 19, 2021
- Discretionary RAUM · $1.0B to $1.1BMar 26, 2019 to Mar 18, 2020
Signals
4 dated events
- Francine Nicole Dunderdale (Chief Compliance Officer, Chief Financial Officer) no longer on Schedule A of M•••••• V•••• P•••••••• L•• (listed 2024-03-20, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- M•••••• V•••• P•••••••• L•• reported RAUM $317.6M, down 37% from $507.0M (2023-03-24 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- M•••••• V•••• P•••••••• L•• reported RAUM $507.0M, down 30% from $724.9M (2022-08-22 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- David Richard Allen (Chief Operating Officer) no longer on Schedule A of M•••••• V•••• P•••••••• L•• (listed 2021-03-19, absent 2021-06-04)Jun 4, 2021 · Control person left · inference
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
- 707-750-3337reportedpublic record, Form ADV, Jul 20, 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