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
F••••• B••••• C••••••
Legal name F••••• B••••• C•••••• I•• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 27, 2012 · 24 filings
SEC status approved since Jun 30, 2011
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$64.2M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$193M as of Mar 16, 2026
Mar 27, 2012$733M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 27, 20133 then
Employees (5.A)6 as of Mar 16, 2026
Mar 27, 20139 then
Private funds: 2
RAUM -23% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $64.2MderivedRAUM 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
- $96.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$193M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- 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=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• C••••••Chartered Financial Analyst | Oakland, Ca | Jan 1, 2026 | 21 y | 0 |
| A•••••••• Z•••••••• L••••• | Oakland, Ca | Jan 1, 2026 | 20 y | 0 |
| H• J••••• D••••••••• | Oakland, Ca | Jan 1, 2026 | 39 y | 6 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- H• J••••• D••••••••• from N•• C•••••• A•••• M••••••••• I•••Jan 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• S•••• · Managing Membercontrolsince 08/2008 · owns 75% or more
- D••••••••• H• J••••• · Chief Compliance Officersince 11/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oakland, Ca · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 16, 2026advises private funds (Item 7.B): no on the filing of 2025-03-27, yes on the filing of 2026-03-16peers: asset managers, $100M to $500M (1,567)
- institutional asset share shiftChange between filings · filing Mar 16, 2026institutional share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-03-27 and 2026-03-16peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 6 to 2Mar 27, 2025 to Mar 16, 2026
- Advisory activities · 2 to 1Mar 27, 2025 to Mar 16, 2026
- Corporate clients · 1.0 to unsetMar 27, 2025 to Mar 16, 2026
- Pooled vehicle clients · unset to 2.0Mar 27, 2025 to Mar 16, 2026
- Private funds · unset to 2Mar 27, 2025 to Mar 16, 2026
- Discretionary RAUM · $249M to $193MMar 27, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · unset to 192748384.0Mar 27, 2025 to Mar 16, 2026
- RAUM · $249M to $193MMar 27, 2025 to Mar 16, 2026
- Employees · 7 to 6Aug 1, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Aug 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $263M to $249MAug 1, 2024 to Mar 27, 2025
- RAUM · $263M to $249MAug 1, 2024 to Mar 27, 2025
- Accounts · 1 to 6Mar 28, 2024 to Aug 1, 2024
- Advisory activities · 1 to 2Mar 28, 2024 to Aug 1, 2024
- Discretionary RAUM · $162M to $263MMar 28, 2024 to Aug 1, 2024
- RAUM · $162M to $263MMar 28, 2024 to Aug 1, 2024
- Discretionary RAUM · $130M to $162MMar 30, 2023 to Mar 28, 2024
- RAUM · $130M to $162MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $122M to $130MMar 29, 2022 to Mar 30, 2023
- RAUM · $122M to $130MMar 29, 2022 to Mar 30, 2023
- Advisory employees · 6 to 5Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $175M to $122MMar 29, 2021 to Mar 29, 2022
- RAUM · $175M to $122MMar 29, 2021 to Mar 29, 2022
- Advisory employees · 7 to 6Apr 2, 2020 to Mar 29, 2021
- Employees · 8 to 7Apr 2, 2020 to Mar 29, 2021
- Discretionary RAUM · $143M to $175MApr 2, 2020 to Mar 29, 2021
- RAUM · $143M to $175MApr 2, 2020 to Mar 29, 2021
- Discretionary RAUM · $100M to $143MMar 30, 2019 to Mar 31, 2020
- RAUM · $100M to $143MMar 30, 2019 to Mar 31, 2020
- Corporate clients · unset to 1.0Mar 19, 2018 to Mar 30, 2019
- HQ city · WALNUT CREEK to OAKLANDMar 19, 2018 to Mar 30, 2019
- Discretionary RAUM · $102M to $100MMar 19, 2018 to Mar 30, 2019
- RAUM · $102M to $100MMar 19, 2018 to Mar 30, 2019
- Advisory employees · 8 to 7Oct 25, 2017 to Mar 19, 2018
- Employees · 9 to 8Oct 25, 2017 to Mar 19, 2018
- Discretionary RAUM · $98.5M to $102MOct 25, 2017 to Mar 19, 2018
- RAUM · $98.5M to $102MOct 25, 2017 to Mar 19, 2018
- Accounts · 7 to 1Mar 22, 2017 to Oct 5, 2017
- Advisory employees · 10 to 8Mar 22, 2017 to Oct 5, 2017
- Employees · 10 to 9Mar 22, 2017 to Oct 5, 2017
Signals
1 dated events
- F••••• B••••• C•••••• reported RAUM $263.3M, up 63% from $161.8M (2024-03-28 to 2024-08-01)Aug 1, 2024 · 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
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-979-4280reportedpublic record, Form ADV, Mar 16, 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
- $64.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026