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RIA Intelligence

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Former SEC-registered adviser

F•••••• R••••• C••••••• L•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 157487SEC 801-73488IAPD
Latest filing Mar 22, 2018
First filing on the tape Feb 13, 2012 · 15 filings
RAUM
$804M
reported, Item 5.F
Discretionary
3.1%
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$804M gross assets
History
15 filings and snapshots on the tape
RAUM$804M as of Mar 22, 2018
Mar 20, 2013$817M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2018
Mar 20, 20130 then
Employees (5.A)6 as of Mar 22, 2018
Mar 20, 201310 then
Private funds4 as of Mar 22, 2018
Mar 20, 20132 then
RAUM +34% over the last fiscal year+58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2018; 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
$201MderivedRAUM over accounts (5.F.2.f)
Discretionary
3.1%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+34%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$626M, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Pooled investment vehicles$804M100%
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
$626M 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••• R••• E••••• F•••• L••Real Estate Fund$308M3Mar 22, 2016
      F•••••• R••• E••••• F••• I•• L••Real Estate Fund$299M3Mar 27, 2017
      F••••••••• L•••••Real Estate Fund$172M2Mar 22, 2016
      F•••••• S•••••••• P••••••• P••••••• I•• L•••Real Estate Fund$24.8M38Feb 13, 2012
      F•••••• S•••••••• P••••••• P•••••••• L•••no longer reportedReal Estate Fund$2.4M21Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R••••• M••••••• J• · Limited Partnercontrol
        since 01/2008 · owns 10% to 25%
      • Z••••••••• C•••••• J••••• · Managing Partner & Chief Compliance Officercontrol
        since 02/1997 · owns 10% to 25%
      • B••••••• J•• S••••••• D•••••• · Trusteecontrol
        since 02/1997 · owns F of S•••••• D• B••••••• J•• A•• E•••••••• H• B•••••• F••••• T••••
      • M•••••••• L•••• A• · General Counsel
        since 01/2003 · owns less than 5%
      Entity owners
      • F•••••• G••••• L•• · Limited Partner
        direct · owns 10% to 25%
      • F•••••• I••••••••• I••• · Limited Partner
        direct · owns 25% to 50%
      • F•••••• R••••••••• I••• · General Partner
        direct · owns less than 5%
      • F•••••• G••••• L••••• · Shareholder
        indirect · owns 75% or more of F•••••• R••••••••• I•••
      • S•••••• D• B••••••• J•• A•• E•••••••• H• B•••••• F••••• T•••• · Shareholder
        indirect · owns 75% or more of F•••••• I••••••••• I•••
      Related persons
      Schedule D 7.A
      • F•• A••••••••• L•••••
        pooled vehicle sponsorn
      • F•••••• R••••• C•••••• I•••••••• I•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 4.0
        Mar 27, 2017 to Mar 22, 2018
      • Assets in custody · $357M to $626M
        Mar 27, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Mar 27, 2017 to Mar 22, 2018
      • Discretionary RAUM · $30.4M to $24.8M
        Mar 27, 2017 to Mar 22, 2018
      • Non-discretionary RAUM · $571M to $779M
        Mar 27, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 803681000.0
        Mar 27, 2017 to Mar 22, 2018
      • RAUM · $602M to $804M
        Mar 27, 2017 to Mar 22, 2018
      • Accounts · 5 to 4
        May 31, 2016 to Mar 27, 2017
      • Assets in custody · $326M to $357M
        May 31, 2016 to Mar 27, 2017
      • Employees · 8 to 6
        May 31, 2016 to Mar 27, 2017
      • Discretionary RAUM · $326M to $30.4M
        May 31, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $0 to $571M
        May 31, 2016 to Mar 27, 2017
      • RAUM · $326M to $602M
        May 31, 2016 to Mar 27, 2017
      • Assets in custody · $278M to $326M
        Mar 22, 2016 to May 31, 2016
      • Discretionary RAUM · $278M to $326M
        Mar 22, 2016 to May 31, 2016
      • RAUM · $278M to $326M
        Mar 22, 2016 to May 31, 2016
      • Accounts · 2 to 5
        Apr 21, 2015 to Mar 22, 2016
      • Advisory employees · 4 to 5
        Apr 21, 2015 to Mar 22, 2016
      • Assets in custody · $180M to $278M
        Apr 21, 2015 to Mar 22, 2016
      • Private funds · 2 to 4
        Apr 21, 2015 to Mar 22, 2016
      • Discretionary RAUM · $182M to $278M
        Apr 21, 2015 to Mar 22, 2016
      • RAUM · $182M to $278M
        Apr 21, 2015 to Mar 22, 2016
      • Assets in custody · $202M to $180M
        Mar 13, 2015 to Apr 21, 2015
      • Discretionary RAUM · $203M to $182M
        Mar 13, 2015 to Apr 21, 2015
      • RAUM · $203M to $182M
        Mar 13, 2015 to Apr 21, 2015
      • Advisory employees · 5 to 4
        Apr 10, 2014 to Mar 13, 2015
      • Assets in custody · $308M to $202M
        Apr 10, 2014 to Mar 13, 2015
      • Employees · 10 to 8
        Apr 10, 2014 to Mar 13, 2015
      • Discretionary RAUM · $323M to $203M
        Apr 10, 2014 to Mar 13, 2015
      • RAUM · $323M to $203M
        Apr 10, 2014 to Mar 13, 2015
      • Assets in custody · $316M to $308M
        Jun 18, 2013 to Mar 25, 2014
      • Discretionary RAUM · $347M to $323M
        Jun 18, 2013 to Mar 25, 2014
      • RAUM · $347M to $323M
        Jun 18, 2013 to Mar 25, 2014
      • Assets in custody · $324M to $316M
        Mar 20, 2013 to Jun 18, 2013
      • Discretionary RAUM · $817M to $347M
        Mar 20, 2013 to Jun 18, 2013
      • RAUM · $817M to $347M
        Mar 20, 2013 to Jun 18, 2013
      • Advisory employees · unset to 5.0
        Feb 13, 2012 to Mar 20, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 20, 2013
      • Assets in custody · $323M to $324M
        Feb 13, 2012 to Mar 20, 2013
      • Employees · unset to 10.0
        Feb 13, 2012 to Mar 20, 2013
      Signals
      1 dated events
      • F•••••• R••••• C••••••• L••• reported RAUM $803.7M, up 34% from $601.7M (2017-03-27 to 2018-03-22)
        Mar 22, 2018 · 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.
      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
      Across the graphs

      F•••••• R••••• C••••••• L••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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