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

S• I••••••••• M••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 157659SEC 801-76627IAPD
Latest filing Dec 14, 2020
First filing on the tape Apr 25, 2012 · 36 filings
RAUM
$9.4M
reported, Item 5.F
Discretionary
0.0%
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
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$9.4M gross assets
History
36 filings and snapshots on the tape
RAUM$195M as of Mar 30, 2020
Mar 27, 2013$1.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 27, 20130 then
Employees (5.A)8 as of Mar 30, 2020
Mar 27, 20135 then
Private funds2 as of Mar 30, 2020
Mar 27, 20134 then
RAUM -94% over the last fiscal year-54% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Dec 14, 2020; 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
$9.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+20%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 assetsreportedItem 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
  • 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$9.4M100%
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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S• P•••••• I••••••••• L••no longer reportedPrivate Equity Fund$39.7M93Apr 25, 2012
      S• P•••••• I••••••••• V•• L••no longer reportedPrivate Equity Fund$16.4M99Apr 25, 2012
      S• P•••••• I••••••••• I•• L••no longer reportedPrivate Equity Fund$15.6M97Apr 25, 2012
      S• P•••••• I••••••••• I•• L••no longer reportedPrivate Equity Fund$11.2M69Apr 25, 2012
      S• P•••••• I••••••••• X••• L••no longer reportedPrivate Equity Fund$11.2M66Apr 25, 2012
      S• P•••••• I••••••••• V• L••no longer reportedPrivate Equity Fund$11.1M65Apr 25, 2012
      S•••• S•••••• O••••••••• F••• L•• • S••••• B•Private Equity Fund$8.8M0Feb 14, 2020
      S• P•••••• I••••••••• X•• L••no longer reportedPrivate Equity Fund$8.8M68Apr 25, 2012
      S• P•••••• I••••••••• V•••• L••no longer reportedPrivate Equity Fund$7.5M50Apr 25, 2012
      S• P•••••• I••••••••• X••• L••no longer reportedPrivate Equity Fund$6.7M51Apr 25, 2012
      S• P•••••• I••••••••• X• L••no longer reportedPrivate Equity Fund$5.8M41Apr 25, 2012
      S•••• S•••••• O••••••••• F••• L•• • S••••• A•Private Equity Fund$575,5550Jan 5, 2015
      S• P•••••• I••••••••• X•• L••no longer reportedPrivate Equity Fund$400,0006Apr 25, 2012
      S• P•••••• I••••••••• I••• L••no longer reportedPrivate Equity Fund$330,0005Apr 25, 2012
      S• P•••••• I••••••••• I•• L••no longer reportedPrivate Equity Fund$270,0006Apr 25, 2012
      S• P•••••• I••••••••• V••• L••no longer reportedPrivate Equity Fund$250,0009Apr 25, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• C••••••••• J••• · Ccocontrol
        since 03/2020 · owns less than 5%
      • B••••••• G•••• B••••• · Stockholder - Acontrol
        since 11/2020 · owns 25% to 50% of S• H••••••• G••••• I•••
      Entity owners
      • S• H••••••• G••••• I••• · Sole Member
        direct · owns 75% or more
      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
      • Accounts · 2 to 1
        May 26, 2020 to Dec 14, 2020
      • Advisory employees · 5 to 0
        May 26, 2020 to Dec 14, 2020
      • Advisory activities · 2 to 1
        May 26, 2020 to Dec 14, 2020
      • Employees · 8 to 1
        May 26, 2020 to Dec 14, 2020
      • Discretionary RAUM · $195M to $0
        May 26, 2020 to Dec 14, 2020
      • Non-discretionary RAUM · $0 to $9.4M
        May 26, 2020 to Dec 14, 2020
      • Pooled vehicle RAUM · $3.5M to $9.4M
        May 26, 2020 to Dec 14, 2020
      • RAUM · $195M to $9.4M
        May 26, 2020 to Dec 14, 2020
      • Related broker-dealer · true to false
        May 26, 2020 to Dec 14, 2020
      • Accounts · 1 to 2
        Feb 14, 2020 to Mar 30, 2020
      • Pooled vehicle clients · unset to 1.0
        Feb 14, 2020 to Mar 30, 2020
      • Employees · 7 to 8
        Feb 14, 2020 to Mar 30, 2020
      • HQ city · MENLO PARK to SAN FRANCISCO
        Feb 14, 2020 to Mar 30, 2020
      • Other offices · 1 to 0
        Feb 14, 2020 to Mar 30, 2020
      • Discretionary RAUM · $200M to $195M
        Feb 14, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · unset to 3471128.0
        Feb 14, 2020 to Mar 30, 2020
      • RAUM · $200M to $195M
        Feb 14, 2020 to Mar 30, 2020
      • Employees · 8 to 7
        Aug 30, 2019 to Feb 14, 2020
      • Private funds · 1 to 2
        Aug 30, 2019 to Feb 14, 2020
      • Discretionary RAUM · $191M to $200M
        Aug 30, 2019 to Feb 14, 2020
      • RAUM · $191M to $200M
        Aug 30, 2019 to Feb 14, 2020
      • Advisory employees · 4 to 5
        Apr 30, 2019 to Aug 30, 2019
      • BD registered reps · 1 to 0
        Apr 30, 2019 to Aug 30, 2019
      • Discretionary RAUM · $163M to $191M
        Apr 30, 2019 to Aug 30, 2019
      • RAUM · $163M to $191M
        Apr 30, 2019 to Aug 30, 2019
      • Advisory employees · 5 to 4
        Jan 16, 2019 to Mar 30, 2019
      • BD registered reps · 3 to 1
        Jan 16, 2019 to Mar 30, 2019
      • Employees · 10 to 8
        Jan 16, 2019 to Mar 30, 2019
      • Other offices · 2 to 1
        Jan 16, 2019 to Mar 30, 2019
      • Discretionary RAUM · $144M to $163M
        Jan 16, 2019 to Mar 30, 2019
      • RAUM · $144M to $163M
        Jan 16, 2019 to Mar 30, 2019
      • BD registered reps · 2 to 3
        Oct 26, 2018 to Jan 16, 2019
      • Employees · 9 to 10
        Oct 26, 2018 to Jan 16, 2019
      • Discretionary RAUM · $133M to $144M
        Oct 26, 2018 to Jan 16, 2019
      • RAUM · $133M to $144M
        Oct 26, 2018 to Jan 16, 2019
      • Advisory employees · 6 to 5
        Jul 11, 2018 to Oct 26, 2018
      • BD registered reps · 3 to 2
        Jul 11, 2018 to Oct 26, 2018
      • Employees · 11 to 9
        Jul 11, 2018 to Oct 26, 2018
      • Discretionary RAUM · $121M to $133M
        Jul 11, 2018 to Oct 26, 2018
      • RAUM · $121M to $133M
        Jul 11, 2018 to Oct 26, 2018
      Signals
      5 dated events
      • S• I••••••••• M••••••••• L•• reported RAUM $9.4M, down 95% from $195.2M (2020-05-26 to 2020-12-14)
        Dec 14, 2020 · RAUM change · derived
      • John Christopher Brancazio (Cco) appeared on Schedule A of S• I••••••••• M••••••••• L••
        Mar 30, 2020 · Control person joined · fact
      • M Jeffrey Miller (President) no longer on Schedule A of S• I••••••••• M••••••••• L•• (listed 2019-08-30, absent 2020-02-14)
        Feb 14, 2020 · Control person left · inference
      • M Jeffrey Miller (President) appeared on Schedule A of S• I••••••••• M••••••••• L••
        Jan 16, 2019 · Control person joined · fact
      • Leigh Carol Foster (President) no longer on Schedule A of S• I••••••••• M••••••••• L•• (listed 2018-10-26, absent 2019-01-16)
        Jan 16, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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