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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I••••• C•••••• M••••••••• L•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 157905SEC 801-73517websiteIAPD
Latest filing Jun 16, 2025
First filing on the tape Feb 13, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$737M
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
14
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$737M as of Jun 16, 2025
Mar 26, 2013$289M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 16, 2025
Mar 26, 20130 then
Employees (5.A)14 as of Jun 16, 2025
Mar 26, 201311 then
Private funds1 as of Jun 16, 2025
Mar 26, 20131 then
RAUM -14% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 16, 2025; 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
$184MderivedRAUM 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
-14%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
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$737M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••• C•••••• F•••• L•••Hedge Fund$855M116Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••• M•••••• Z•••••• · Chief Financial Officercontrol
        since 04/2023 · owns less than 5%
      • R••••••••• Z••••••• S••• · General Counsel & Chief Compliance Officercontrol
        since 09/2022 · owns less than 5%
      • S••••••• D••••• C••••••••• · Trustee Of D•••• C••••••••• S•••••• A•• C••••• H••••••• C•••••• 2••• R•••••••• T••••control
        since 04/2000 · owns 50% to 75%
      • S•••• E•••••• C••••••••• · Limited Partner And Investment Partnercontrol
        since 07/2020 · owns 25% to 50%
      • S••••••• D••••• C••••••••• · Managing Membercontrol
        since 12/2013 · owns 75% or more of I• G•• L••
      • S••••••• D••••• C••••••••• · Trusteecontrol
        since 04/2000 · owns F of D•••• C••••••••• S•••••• A•• C••••• H••••••• C•••••• 2••• R•••••••• T••••
      • P••••• J•••••• E• · Limited Partner
        since 01/2010 · owns less than 5%
      Entity owners
      • D•••• C••••••••• S•••••• A•• C••••• H••••••• C•••••• 2••• R•••••••• T•••• · Limited Partner
        direct · owns 50% to 75%
      • I• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • I••••• P•••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Aspen, CO1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Mar 31, 2025 to Jun 16, 2025
      • Discretionary RAUM · $855M to $737M
        Mar 26, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $855M to $737M
        Mar 26, 2024 to Mar 31, 2025
      • RAUM · $855M to $737M
        Mar 26, 2024 to Mar 31, 2025
      • Advisory employees · 9 to 7
        May 17, 2023 to Mar 26, 2024
      • Employees · 15 to 14
        May 17, 2023 to Mar 26, 2024
      • Discretionary RAUM · $1.3B to $855M
        May 17, 2023 to Mar 26, 2024
      • Pooled vehicle RAUM · $1.3B to $855M
        May 17, 2023 to Mar 26, 2024
      • RAUM · $1.3B to $855M
        May 17, 2023 to Mar 26, 2024
      • Employees · 16 to 15
        Mar 10, 2023 to May 17, 2023
      • Advisory employees · 12 to 9
        Sep 20, 2022 to Mar 10, 2023
      • Employees · 20 to 16
        Sep 20, 2022 to Mar 10, 2023
      • Discretionary RAUM · $2.0B to $1.3B
        Sep 20, 2022 to Mar 10, 2023
      • Pooled vehicle RAUM · $2.0B to $1.3B
        Sep 20, 2022 to Mar 10, 2023
      • RAUM · $2.0B to $1.3B
        Sep 20, 2022 to Mar 10, 2023
      • Advisory employees · 10 to 12
        Dec 3, 2021 to Mar 30, 2022
      • Assets in custody · unset to 0.0
        Dec 3, 2021 to Mar 30, 2022
      • Custody of client assets · false to true
        Dec 3, 2021 to Mar 30, 2022
      • Employees · 17 to 20
        Dec 3, 2021 to Mar 30, 2022
      • Discretionary RAUM · $1.7B to $2.0B
        Dec 3, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $1.7B to $2.0B
        Dec 3, 2021 to Mar 30, 2022
      • RAUM · $1.7B to $2.0B
        Dec 3, 2021 to Mar 30, 2022
      • Advisory employees · 11 to 10
        Mar 27, 2020 to Mar 29, 2021
      • Employees · 18 to 17
        Mar 27, 2020 to Mar 29, 2021
      • Other offices · 0 to 1
        Mar 27, 2020 to Mar 29, 2021
      • Discretionary RAUM · $1.5B to $1.7B
        Mar 27, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $1.5B to $1.7B
        Mar 27, 2020 to Mar 29, 2021
      • RAUM · $1.5B to $1.7B
        Mar 27, 2020 to Mar 29, 2021
      • Advisory employees · 10 to 11
        Mar 28, 2019 to Mar 27, 2020
      • Employees · 16 to 18
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $1.4B to $1.5B
        Mar 28, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $1.4B to $1.5B
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $1.4B to $1.5B
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 9 to 10
        Jul 9, 2018 to Mar 28, 2019
      • Employees · 17 to 16
        Jul 9, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.3B to $1.4B
        Jul 9, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.3B to $1.4B
        Jul 9, 2018 to Mar 28, 2019
      • RAUM · $1.3B to $1.4B
        Jul 9, 2018 to Mar 28, 2019
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      Signals
      13 dated events
      • I••••• C•••••• M••••••••• L••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $736.8M)
        Jan 2, 2026 · Left the SEC roster · derived
      • I••••• C•••••• M••••••••• L••• reported RAUM $854.6M, down 32% from $1.3B (2023-05-17 to 2024-03-26)
        Mar 26, 2024 · RAUM change · derived
      • Z•••••• M••••• L••• (Chief Financial Officer) appeared on Schedule A of I••••• C•••••• M••••••••• L•••
        May 17, 2023 · Control person joined · fact
      • Anthony Hassan (Limited Partner, Chief Operating Officer And Chief Financial Officer) no longer on Schedule A of I••••• C•••••• M••••••••• L••• (listed 2023-03-10, absent 2023-05-17)
        May 17, 2023 · Control person left · inference
      • I••••• C•••••• M••••••••• L••• reported RAUM $1.3B, down 38% from $2.0B (2022-09-20 to 2023-03-10)
        Mar 10, 2023 · RAUM change · derived
      • William Darren Mooney (Chief Compliance Officer) no longer on Schedule A of I••••• C•••••• M••••••••• L••• (listed 2022-07-01, absent 2022-09-20)
        Sep 20, 2022 · Control person left · inference
      • S••• Z•••••• R•••••••• (Chief Compliance Officer) appeared on Schedule A of I••••• C•••••• M••••••••• L•••
        Sep 20, 2022 · Control person joined · fact
      • Kenneth William Wetmore (Chief Compliance Officer) no longer on Schedule A of I••••• C•••••• M••••••••• L••• (listed 2022-03-30, absent 2022-07-01)
        Jul 1, 2022 · Control person left · inference
      • William Darren Mooney (Chief Compliance Officer) appeared on Schedule A of I••••• C•••••• M••••••••• L•••
        Jul 1, 2022 · Control person joined · fact
      • Kenneth William Wetmore (Chief Compliance Officer) appeared on Schedule A of I••••• C•••••• M••••••••• L•••
        Dec 3, 2021 · Control person joined · fact
      • Joan Jiang (Chief Compliance Officer) no longer on Schedule A of I••••• C•••••• M••••••••• L••• (listed 2021-03-29, absent 2021-07-13)
        Jul 13, 2021 · Control person left · inference
      • M. Andrew Dodge (Limited Partner And Investment Partner) no longer on Schedule A of I••••• C•••••• M••••••••• L••• (listed 2020-03-27, absent 2021-03-29)
        Mar 29, 2021 · Control person left · inference
      • I••••• C•••••• M••••••••• L••• reported RAUM $1.3B, up 26% from $1.0B (2017-03-29 to 2018-03-28)
        Mar 28, 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