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

A•••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 154498SEC 801-71742IAPD
Latest filing Apr 4, 2017
First filing on the tape Feb 2, 2012 · 22 filings
RAUM
$448M
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
13
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$448M gross assets
History
22 filings and snapshots on the tape
RAUM$448M as of Mar 22, 2017
Feb 2, 2012$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2017
Mar 14, 20130 then
Employees (5.A)13 as of Mar 22, 2017
Mar 14, 201332 then
Private funds4 as of Mar 22, 2017
Feb 2, 20129 then
RAUM -78% over the last fiscal year-50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 4, 2017; 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
$112MderivedRAUM 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
-78%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$448M, 4 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)
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$448M for 4 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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• O•••••••• L•••no longer reportedHedge Fund$1.6B67Feb 2, 2012
      A•••• Q•••••••• A••••••••• L•••Hedge Fund$602M34Feb 2, 2012
      T•• C••••••••• F•••• L•••Hedge Fund$252M67Feb 2, 2012
      A•••• A••••••••• L•••Hedge Fund$241M47Feb 2, 2012
      A•••• M•••••• L•••Hedge Fund$216M63Mar 31, 2014
      T•• C••••••••• M••••• F••• L•••Hedge Fund$138M51Oct 31, 2013
      A•••• H••••••••• L•••Hedge Fund$104M55Feb 2, 2012
      P• P• E••••••• I•Hedge Fund$65.0M6Feb 2, 2012
      A•••• H••••••••• M•••••• L•••Hedge Fund$62.4M30Mar 31, 2014
      A•••• G••••• P•••••••• L•••Hedge Fund$31.8M27Feb 2, 2012
      L•••••••• C••••••• L•••no longer reportedHedge Fund$23.6M18Feb 2, 2012
      T•• C••••••••• Q•••••••• F••• L•••Hedge Fund$8.7M2Oct 31, 2013
      A•••• V••••• L•••Hedge Fund$1.0M1Aug 25, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • O••••• P•••• E••• · Managing Membercontrol
        since 10/2004 · owns 75% or more
      • R••••••• B•••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 03/2017 · owns less than 5%
      • V••••• W••••••• C••••••••• · Director Of Operationscontrol
        since 08/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C• A•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • San Ramon, CA
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 4
        Aug 25, 2016 to Mar 22, 2017
      • Advisory employees · 10 to 4
        Aug 25, 2016 to Mar 22, 2017
      • Assets in custody · $2.0B to $448M
        Aug 25, 2016 to Mar 22, 2017
      • Employees · 26 to 13
        Aug 25, 2016 to Mar 22, 2017
      • Private funds · 11 to 4
        Aug 25, 2016 to Mar 22, 2017
      • Discretionary RAUM · $2.1B to $448M
        Aug 25, 2016 to Mar 22, 2017
      • RAUM · $2.1B to $448M
        Aug 25, 2016 to Mar 22, 2017
      • Private funds · 10 to 11
        Jun 24, 2016 to Aug 25, 2016
      • Advisory employees · 11 to 10
        Jun 11, 2015 to Mar 17, 2016
      • Assets in custody · $3.0B to $2.0B
        Jun 11, 2015 to Mar 17, 2016
      • Employees · 27 to 26
        Jun 11, 2015 to Mar 17, 2016
      • Discretionary RAUM · $3.1B to $2.1B
        Jun 11, 2015 to Mar 17, 2016
      • RAUM · $3.1B to $2.1B
        Jun 11, 2015 to Mar 17, 2016
      • Advisory employees · 12 to 11
        Aug 13, 2014 to Mar 31, 2015
      • Assets in custody · $3.9B to $3.0B
        Aug 13, 2014 to Mar 31, 2015
      • Discretionary RAUM · $3.9B to $3.1B
        Aug 13, 2014 to Mar 31, 2015
      • RAUM · $3.9B to $3.1B
        Aug 13, 2014 to Mar 31, 2015
      • Related bank · true to false
        Aug 13, 2014 to Mar 31, 2015
      • Advisory employees · 14 to 12
        Mar 31, 2014 to Apr 30, 2014
      • Assets in custody · $3.6B to $3.9B
        Mar 31, 2014 to Apr 30, 2014
      • Employees · 30 to 27
        Mar 31, 2014 to Apr 30, 2014
      • Discretionary RAUM · $3.6B to $3.9B
        Mar 31, 2014 to Apr 30, 2014
      • RAUM · $3.6B to $3.9B
        Mar 31, 2014 to Apr 30, 2014
      • Assets in custody · $2.0B to $3.6B
        Oct 31, 2013 to Mar 31, 2014
      • Private funds · 9 to 10
        Oct 31, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.7B to $3.6B
        Oct 31, 2013 to Mar 31, 2014
      • RAUM · $3.7B to $3.6B
        Oct 31, 2013 to Mar 31, 2014
      • Related bank · false to true
        Oct 31, 2013 to Mar 31, 2014
      • Accounts · 7 to 10
        Aug 7, 2013 to Oct 31, 2013
      • Assets in custody · $1.5B to $2.0B
        Aug 7, 2013 to Oct 31, 2013
      • Employees · 32 to 30
        Aug 7, 2013 to Oct 31, 2013
      • Private funds · 7 to 9
        Aug 7, 2013 to Oct 31, 2013
      • Discretionary RAUM · $2.9B to $3.7B
        Aug 7, 2013 to Oct 31, 2013
      • RAUM · $2.9B to $3.7B
        Aug 7, 2013 to Oct 31, 2013
      • Accounts · 9 to 7
        Feb 13, 2013 to Mar 14, 2013
      • Advisory employees · 11 to 14
        Feb 13, 2013 to Mar 14, 2013
      • Business name · P••••• O•••• L•• to A•••• C••••••• L••
        Feb 13, 2013 to Mar 14, 2013
      • Assets in custody · $1.4B to $1.5B
        Feb 13, 2013 to Mar 14, 2013
      • Employees · 26 to 32
        Feb 13, 2013 to Mar 14, 2013
      • Legal name · P••••• O•••• L•• to A•••• C••••••• L••
        Feb 13, 2013 to Mar 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