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

C•••••• P••• C•••••• P•••••••

Former SEC-registered adviserEl Segundo, CaliforniaCRD 158129SEC 801-74037IAPD
Legal name C•••••• P••• C•••••• P•••••••• L••
Latest filing May 11, 2023
First filing on the tape Feb 14, 2012 · 23 filings
RAUM
$240M
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
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
$240M gross assets
History
23 filings and snapshots on the tape
RAUM$240M as of Mar 30, 2023
Mar 21, 2013$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 21, 20130 then
Employees (5.A)9 as of Mar 30, 2023
Mar 21, 201310 then
Private funds8 as of Mar 30, 2023
Mar 21, 20131 then
RAUM +31% over the last fiscal year-2.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2023; 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
$29.9MderivedRAUM 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
+31%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$240M, 8 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$240M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$240M for 8 clientsreported
Compensation
fixed, 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• P••• C•••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$24.4M33Feb 14, 2012
      C•• B•• H•••••• L••no longer reportedPrivate Equity Fund$1.3M18Mar 29, 2016
      C•• M••••••• H•••••••• L••Private Equity Fund$665,90022Mar 29, 2016
      C•••••• P••• C•••••• P•••••••• L•••no longer reportedPrivate Equity Fund$662,98651Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••• C••••••• W•••••• · Managing Member And Chief Compliance Officercontrol
        since 01/1999 · owns 25% to 50%
      • S•••••• M•••••• A••••••• · Managing Membercontrol
        since 01/1999 · owns 25% to 50%
      • Z••••••••• G••• G••• · Managing Membercontrol
        since 01/2015 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • C•• E••••• A••••••• I•• L••
        investment adviserpooled vehicle sponsorn
      • C•• E••••• A•••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Menlo P•••, CA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 8
        Apr 21, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 9 to 8
        Apr 21, 2022 to Mar 30, 2023
      • Assets in custody · $183M to $240M
        Apr 21, 2022 to Mar 30, 2023
      • Private funds · 9 to 8
        Apr 21, 2022 to Mar 30, 2023
      • Discretionary RAUM · $183M to $240M
        Apr 21, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $183M to $240M
        Apr 21, 2022 to Mar 30, 2023
      • RAUM · $183M to $240M
        Apr 21, 2022 to Mar 30, 2023
      • Assets in custody · unset to 183037230.0
        Mar 25, 2022 to Apr 21, 2022
      • Custody of client assets · false to true
        Mar 25, 2022 to Apr 21, 2022
      • Accounts · 7 to 9
        May 5, 2021 to Mar 25, 2022
      • Pooled vehicle clients · 7 to 9
        May 5, 2021 to Mar 25, 2022
      • Private funds · 7 to 9
        May 5, 2021 to Mar 25, 2022
      • Discretionary RAUM · $210M to $183M
        May 5, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $210M to $183M
        May 5, 2021 to Mar 25, 2022
      • RAUM · $210M to $183M
        May 5, 2021 to Mar 25, 2022
      • Accounts · 6 to 7
        Apr 28, 2020 to Mar 26, 2021
      • Pooled vehicle clients · 6 to 7
        Apr 28, 2020 to Mar 26, 2021
      • Employees · 10 to 9
        Apr 28, 2020 to Mar 26, 2021
      • Private funds · 6 to 7
        Apr 28, 2020 to Mar 26, 2021
      • Discretionary RAUM · $262M to $210M
        Apr 28, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $262M to $210M
        Apr 28, 2020 to Mar 26, 2021
      • RAUM · $262M to $210M
        Apr 28, 2020 to Mar 26, 2021
      • Discretionary RAUM · $259M to $262M
        Mar 26, 2020 to Apr 28, 2020
      • Pooled vehicle RAUM · $259M to $262M
        Mar 26, 2020 to Apr 28, 2020
      • RAUM · $259M to $262M
        Mar 26, 2020 to Apr 28, 2020
      • Employees · 9 to 10
        May 9, 2019 to Mar 26, 2020
      • Discretionary RAUM · $194M to $259M
        May 9, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $194M to $259M
        May 9, 2019 to Mar 26, 2020
      • RAUM · $194M to $259M
        May 9, 2019 to Mar 26, 2020
      • Discretionary RAUM · $196M to $194M
        Mar 29, 2019 to May 9, 2019
      • Pooled vehicle RAUM · $196M to $194M
        Mar 29, 2019 to May 9, 2019
      • RAUM · $196M to $194M
        Mar 29, 2019 to May 9, 2019
      • Accounts · 4 to 6
        Apr 16, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 4 to 6
        Apr 16, 2018 to Mar 29, 2019
      • Private funds · 4 to 6
        Apr 16, 2018 to Mar 29, 2019
      • Discretionary RAUM · $103M to $196M
        Apr 16, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $103M to $196M
        Apr 16, 2018 to Mar 29, 2019
      • RAUM · $103M to $196M
        Apr 16, 2018 to Mar 29, 2019
      • Related adviser · false to true
        Apr 16, 2018 to Mar 29, 2019
      • Advisory employees · 7 to 8
        Apr 19, 2017 to Mar 30, 2018
      Signals
      No event on the tape.
      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