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

P••••••••• T•••• A•••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 155322SEC 801-72576IAPD
Latest filing Feb 20, 2014
First filing on the tape Dec 2, 2011 · 14 filings
RAUM
$27.5M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$27.5M as of Feb 20, 2014
Feb 2, 2012$3.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 20, 2014
Feb 2, 20120 then
Employees (5.A)3 as of Feb 20, 2014
May 6, 20136 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Feb 20, 2014; every figure names its basis
RAUM per advisor
$27.5MderivedRAUM 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
$27.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••• C••••••••• R•••• · Managing Membercontrol
        since 09/2010 · owns 25% to 50%
      • H•••••• L•••• H••• · Chief Compliance Officer
        since 10/2010 · owns 10% to 25%
      Entity owners
      • W•••• F••••• T•••• · Partner
        indirect · owns 25% to 50% of P••••••••• T•••• A•••••••• L••
      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
      • Discretionary RAUM · $36.0M to $27.5M
        Jan 14, 2014 to Feb 20, 2014
      • RAUM · $36.0M to $27.5M
        Jan 14, 2014 to Feb 20, 2014
      • BD registered reps · 2 to 1
        Jun 24, 2013 to Jan 14, 2014
      • Employees · 4 to 3
        Jun 24, 2013 to Jan 14, 2014
      • State-registered IARs · 2 to 1
        Jun 24, 2013 to Jan 14, 2014
      • Discretionary RAUM · $24.0M to $36.0M
        Jun 24, 2013 to Jan 14, 2014
      • RAUM · $24.0M to $36.0M
        Jun 24, 2013 to Jan 14, 2014
      • BD registered reps · 1 to 2
        May 6, 2013 to Jun 13, 2013
      • Employees · 6 to 4
        May 6, 2013 to Jun 13, 2013
      • Accounts · 130 to 1
        Dec 18, 2012 to May 6, 2013
      • State-registered IARs · 1 to 2
        Dec 18, 2012 to May 6, 2013
      • Discretionary RAUM · $10.0M to $24.0M
        Dec 18, 2012 to May 6, 2013
      • RAUM · $10.0M to $24.0M
        Dec 18, 2012 to May 6, 2013
      • Accounts · 65 to 130
        Sep 17, 2012 to Dec 18, 2012
      • Advisory employees · unset to 3.0
        Sep 17, 2012 to Dec 18, 2012
      • BD registered reps · 0 to 1
        Sep 17, 2012 to Dec 18, 2012
      • Employees · unset to 6.0
        Sep 17, 2012 to Dec 18, 2012
      • State-registered IARs · 0 to 1
        Sep 17, 2012 to Dec 18, 2012
      • Discretionary RAUM · $5.3M to $10.0M
        Sep 17, 2012 to Dec 18, 2012
      • RAUM · $5.3M to $10.0M
        Sep 17, 2012 to Dec 18, 2012
      • Discretionary RAUM · $3.0M to $5.3M
        Feb 2, 2012 to Mar 21, 2012
      • RAUM · $3.0M to $5.3M
        Feb 2, 2012 to Mar 21, 2012
      • Accounts · 80 to 65
        Dec 2, 2011 to Feb 2, 2012
      • Advisory activities · 2 to 1
        Dec 2, 2011 to Feb 2, 2012
      • Discretionary RAUM · $3.7M to $3.0M
        Dec 2, 2011 to Feb 2, 2012
      • RAUM · $3.7M to $3.0M
        Dec 2, 2011 to Feb 2, 2012
      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