DFX Intelligence
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P••• W••• A•••• M••••••••• L••
Asset manager (funds and pooled vehicles)SEC-registered3 private funds· San Francisco, Californiawebsite
Asset manager (funds and pooled vehicles), based in San Francisco, California, reporting $2.9B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $2.9B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +13%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 157660 · SEC 801-74145 · 33 filingsShowHide
CRD 157660SEC 801-74145First filing on the tape Feb 14, 2012, latest Aug 14, 2026SEC status approved since Mar 30, 2012IAPD
RAUM
$2.9B
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
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$2.9B as of Aug 14, 2026
Apr 1, 2013$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 14, 2026
Apr 1, 20130 then
Employees (5.A)20 as of Aug 14, 2026
Apr 1, 201314 then
Private funds3 as of Aug 14, 2026
Apr 1, 20132 then
RAUM +13% over the last fiscal year-0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 14, 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
- $318MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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
- $2.9B, 9 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
- 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)
- 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$2.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9B for 9 clientsreported
- 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 |
|---|---|---|---|---|
| P••• W••• I•••••••• M••••• F•••• L•••••• | Hedge Fund | $2.6B | 65 | Feb 14, 2012 |
| P••• W••• P••••••• I••••••••• L•••••• | Hedge Fund | $269M | 68 | Feb 14, 2012 |
| P••• W••• B••• L• | Other Private Fund | $27.3M | 10 | Nov 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• M••••••• V••••••• · Chief Compliance Officer/Senior Legal Officercontrolsince 11/2023 · owns less than 5%
- J••••••• G••••• E•••••• · Chief Financial Officercontrolsince 09/2014 · owns less than 5%
- P•••• P••••• S••• H•• · Chief Investment Officercontrolsince 11/2002 · owns less than 5%
- P•••• P••••• S••• H•• · L•••••• Partercontrolsince 11/2002 · owns 75% or more of P••• H•••••••• L•
Entity owners
- P••• H•••••••• L• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••• W••• B••• G• L••pooled vehicle sponsorn
- P••• W••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 12 to 13May 16, 2025 to Mar 27, 2026
- Assets in custody · $2.5B to $2.9BMay 16, 2025 to Mar 27, 2026
- Employees · 19 to 20May 16, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.5B to $2.9BMay 16, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.5B to $2.9BMay 16, 2025 to Mar 27, 2026
- RAUM · $2.5B to $2.9BMay 16, 2025 to Mar 27, 2026
- Advisory employees · 13 to 12Mar 28, 2025 to May 16, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 16, 2025
- Advisory employees · 14 to 13Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $2.5B to $2.5BMar 29, 2024 to Mar 28, 2025
- Employees · 26 to 19Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.5B to $2.5BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.5B to $2.5BMar 29, 2024 to Mar 28, 2025
- RAUM · $2.5B to $2.5BMar 29, 2024 to Mar 28, 2025
- Advisory employees · 16 to 14Dec 5, 2023 to Mar 29, 2024
- Assets in custody · $3.0B to $2.5BDec 5, 2023 to Mar 29, 2024
- Employees · 30 to 26Dec 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.0B to $2.5BDec 5, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.0B to $2.5BDec 5, 2023 to Mar 29, 2024
- RAUM · $3.0B to $2.5BDec 5, 2023 to Mar 29, 2024
- Other offices · 1 to 0Aug 21, 2023 to Dec 5, 2023
- Assets in custody · $2.9B to $3.0BMar 30, 2023 to Aug 21, 2023
- HQ city · LARKSPUR to SAN FRANCISCOMar 30, 2023 to Aug 21, 2023
- Discretionary RAUM · $2.9B to $3.0BMar 30, 2023 to Aug 21, 2023
- Pooled vehicle RAUM · $2.9B to $3.0BMar 30, 2023 to Aug 21, 2023
- RAUM · $2.9B to $3.0BMar 30, 2023 to Aug 21, 2023
- Advisory employees · 17 to 16Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $5.8B to $2.9BMar 31, 2022 to Mar 30, 2023
- Employees · 28 to 30Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $5.8B to $2.9BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $5.8B to $2.9BMar 31, 2022 to Mar 30, 2023
- RAUM · $5.8B to $2.9BMar 31, 2022 to Mar 30, 2023
- Accounts · 8 to 9Nov 29, 2021 to Mar 31, 2022
- Advisory employees · 15 to 17Nov 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 8 to 9Nov 29, 2021 to Mar 31, 2022
- Assets in custody · $0 to $5.8BNov 29, 2021 to Mar 31, 2022
- Custody of client assets · false to trueNov 29, 2021 to Mar 31, 2022
- Employees · 25 to 28Nov 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.1B to $5.8BNov 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.1B to $5.8BNov 29, 2021 to Mar 31, 2022
Signals
7 dated events
- ••• LockedAug 14, 2026 · ria principal change · derived
- ••• LockedAug 14, 2026 · Control person left · inference
- ••• LockedDec 5, 2023 · Control person left · inference
- ••• LockedMar 30, 2023 · RAUM change · derived
- ••• LockedMar 31, 2022 · RAUM change · derived
- ••• LockedMar 30, 2020 · RAUM change · derived
- ••• LockedMar 30, 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.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Aug 14, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 14, 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