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
R•••• O•• I••••••••• C••••••• L•••
Latest filing Mar 25, 2026
First filing on the tape Mar 21, 2012 · 20 filings
SEC status approved since Mar 29, 2011
RAUM
$4.7B
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
20
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$4.7B as of Mar 25, 2026
Mar 21, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 21, 20120 then
Employees (5.A)20 as of Mar 25, 2026
Mar 18, 201316 then
Private funds3 as of Mar 25, 2026
Mar 21, 20123 then
RAUM -6.1% over the last fiscal year-3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $1.2BderivedRAUM 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
- -6.1%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
- 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)
- 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$4.7B100%
- 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 AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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 |
|---|---|---|---|---|
| R•••• O•• O••••••• M••••• F•••• L••• | Hedge Fund | $3.3B | 55 | Mar 21, 2012 |
| R•••• O•• F••• I• L••• | Hedge Fund | $2.0B | 109 | Mar 21, 2012 |
| R•••• O•• F••• I•• L••• | Hedge Fund | $64.7M | 60 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• W••••••• F•••••• · Limited Partnercontrolsince 06/2010 · owns 50% to 75%
- H••••• W•••• · Chief Financial Officercontrolsince 12/2020 · owns less than 5%
- K••••••••• Z•••• · Chief Operating Officer/ Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- M•••••• J••••• E•••• · Limited Partnercontrolsince 06/2010 · owns 50% to 75%
- P•••• A•••••• H••••••••• · Limited Partnercontrolsince 06/2010 · owns less than 5%
- V•••• R••••••• H••••••• · Limited Partnercontrolsince 06/2010 · owns less than 5%
- D••••••• W••••••• F•••••• · Manager, Membercontrolsince 03/2010 · owns F of R•••• L••
- M•••••• J••••• E•••• · Manager, Membercontrolsince 03/2010 · owns F of R•••• L••
- M•••••• J••••• E•••• · T••••••controlsince 04/2022 · owns F of J•••• E• M•••••• T•••••• O• T•• J•••• E• M••••• R•••••••• T••••
- P•••• A•••••• H••••••••• · Managercontrolsince 03/2010 · owns F of R•••• L••
- V•••• R••••••• H••••••• · Managercontrolsince 03/2010 · owns F of R•••• L••
Entity owners
- J•••• E• M•••••• T•••••• O• T•• J•••• E• M••••• R•••••••• T•••• · Limited Partnerdirect · owns less than 5%
- R•••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- R•••• O•• I••••••••• C•••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $5.0B to $4.7BJan 2, 2026 to Mar 25, 2026
- Pooled vehicle RAUM · $5.0B to $4.7BJan 2, 2026 to Mar 25, 2026
- RAUM · $5.0B to $4.7BJan 2, 2026 to Mar 25, 2026
- Financial planning clients · unset to Nov 15, 2024 to Mar 24, 2025
- Other offices · 0 to 1Nov 15, 2024 to Mar 24, 2025
- Discretionary RAUM · $5.4B to $5.0BNov 15, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $5.4B to $5.0BNov 15, 2024 to Mar 24, 2025
- RAUM · $5.4B to $5.0BNov 15, 2024 to Mar 24, 2025
- Discretionary RAUM · $5.3B to $5.4BMar 24, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $5.3B to $5.4BMar 24, 2023 to Mar 26, 2024
- RAUM · $5.3B to $5.4BMar 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $6.9B to $5.3BJul 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $6.9B to $5.3BJul 28, 2022 to Mar 24, 2023
- RAUM · $6.9B to $5.3BJul 28, 2022 to Mar 24, 2023
- Advisory employees · 7 to 8Mar 17, 2021 to Mar 21, 2022
- Discretionary RAUM · $7.0B to $6.9BMar 17, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $7.0B to $6.9BMar 17, 2021 to Mar 21, 2022
- RAUM · $7.0B to $6.9BMar 17, 2021 to Mar 21, 2022
- Employees · 18 to 20Feb 26, 2020 to Mar 17, 2021
- Discretionary RAUM · $7.0B to $7.0BFeb 26, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $7.0B to $7.0BFeb 26, 2020 to Mar 17, 2021
- RAUM · $7.0B to $7.0BFeb 26, 2020 to Mar 17, 2021
- Other offices · 1 to 0Mar 1, 2019 to Feb 26, 2020
- Discretionary RAUM · $5.2B to $7.0BMar 1, 2019 to Feb 26, 2020
- Pooled vehicle RAUM · $5.2B to $7.0BMar 1, 2019 to Feb 26, 2020
- RAUM · $5.2B to $7.0BMar 1, 2019 to Feb 26, 2020
- Employees · 21 to 18Mar 16, 2018 to Mar 1, 2019
- Discretionary RAUM · $4.8B to $5.2BMar 16, 2018 to Mar 1, 2019
- Pooled vehicle RAUM · $4.8B to $5.2BMar 16, 2018 to Mar 1, 2019
- RAUM · $4.8B to $5.2BMar 16, 2018 to Mar 1, 2019
- Pooled vehicle clients · unset to 4.0Mar 1, 2017 to Mar 16, 2018
- Employees · 20 to 21Mar 1, 2017 to Mar 16, 2018
- Other offices · unset to 1.0Mar 1, 2017 to Mar 16, 2018
- Discretionary RAUM · $4.2B to $4.8BMar 1, 2017 to Mar 16, 2018
- Pooled vehicle RAUM · unset to 4828165418.0Mar 1, 2017 to Mar 16, 2018
- RAUM · $4.2B to $4.8BMar 1, 2017 to Mar 16, 2018
- Discretionary RAUM · $3.3B to $4.2BMar 7, 2016 to Mar 1, 2017
- RAUM · $3.3B to $4.2BMar 7, 2016 to Mar 1, 2017
- Advisory employees · 6 to 7Mar 2, 2015 to Mar 7, 2016
- Employees · 15 to 20Mar 2, 2015 to Mar 7, 2016
Signals
6 dated events
- H Saskia Mallach (Partner/ Executive) no longer on Schedule A of R•••• O•• I••••••••• C••••••• L••• (listed 2022-07-28, absent 2023-03-24)Mar 24, 2023 · Control person left · inference
- Zaeed Kalsheker (Chief Operating Officer/ Chief Compliance Officer) appeared on Schedule A of R•••• O•• I••••••••• C••••••• L•••Jul 28, 2022 · Control person joined · fact
- Sean Barron (Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of R•••• O•• I••••••••• C••••••• L••• (listed 2020-02-26, absent 2021-03-17)Mar 17, 2021 · Control person left · inference
- H Saskia Mallach (Chief Operating Officer, Chief Compliance Officer) appeared on Schedule A of R•••• O•• I••••••••• C••••••• L•••Mar 17, 2021 · Control person joined · fact
- Weiyi Huang (Chief Financial Officer) appeared on Schedule A of R•••• O•• I••••••••• C••••••• L•••Mar 17, 2021 · Control person joined · fact
- R•••• O•• I••••••••• C••••••• L••• reported RAUM $7.0B, up 35% from $5.2B (2019-03-01 to 2020-02-26)Feb 26, 2020 · RAUM change · derived
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
- 415-796-6800reportedpublic record, Form ADV, Mar 25, 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