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

G••• H••• C•••••• M••••••••• L••

Former SEC-registered adviserSan Jose, CaliforniaCRD 158141SEC 801-74095IAPD
Latest filing Mar 13, 2014
First filing on the tape Feb 14, 2012 · 4 filings
RAUM
$205M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$205M gross assets
History
4 filings and snapshots on the tape
RAUM$205M as of Mar 13, 2014
Mar 14, 2013$213M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2014
Mar 14, 20130 then
Employees (5.A)7 as of Mar 13, 2014
Mar 14, 201312 then
Private funds6 as of Mar 13, 2014
Mar 14, 20136 then
RAUM -3.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2014; 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
$25.6MderivedRAUM 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
-3.9%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
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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
noreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••• H••• C•••••• 2•••• L•Venture Capital Fund$8.1M22Feb 14, 2012
      G••• H••• C•••••• 2•••••• L•Venture Capital Fund$5.5M3Feb 14, 2012
      G••• H••• V•••••• L•••••• 0•••• L•Venture Capital Fund$160,1462Feb 14, 2012
      G••• H••• V•••••• L•••••• 0•••• L•Venture Capital Fund$109,2474Feb 14, 2012
      G••• H••• V•••••• L•••••• 0•• L•Venture Capital Fund$045Feb 14, 2012
      G••• H••• V•••••• L•••••• 0•••• L•Venture Capital Fund$02Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• D••••• B•••• · Managing Director, Managing Membercontrol
        since 09/2004 · owns 10% to 25%
      • H•••• R•••••• M••••• · Managing Director, Managing Membercontrol
        since 01/2011 · owns 10% to 25%
      • L•••••• J•••• R••• · Managing Director, Chief Compliance Officer, Trustee, Managing Membercontrol
        since 09/2004 · owns 10% to 25%
      • T••••• J•••• F•••• · Managing Director, Managing Membercontrol
        since 09/2004 · owns 10% to 25%
      • W•••••••• T••••••• •••• · Managing Director, Managing Membercontrol
        since 09/2004 · owns 10% to 25%
      • L•••••• A••• L••• · Trustee
        since 09/2007 · owns 10% to 25%
      • L•••••• I••• J••• · Trustee
        since 09/2007 · owns 10% to 25%
      • L•••••• K•••• A••• · Trustee
        since 09/2007 · owns 10% to 25%
      Entity owners
      • J••• A•• A•• L••••• L••••• T•••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • G••• H••• C•••••• 2•••• L••
        pooled vehicle sponsorn
      • G••• H••• V•••••• L•••••• P•••••• 0•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 5
        May 7, 2013 to Mar 13, 2014
      • Employees · 12 to 7
        May 7, 2013 to Mar 13, 2014
      • Discretionary RAUM · $238M to $205M
        May 7, 2013 to Mar 13, 2014
      • RAUM · $238M to $205M
        May 7, 2013 to Mar 13, 2014
      • Discretionary RAUM · $213M to $238M
        Mar 14, 2013 to May 7, 2013
      • RAUM · $213M to $238M
        Mar 14, 2013 to May 7, 2013
      • Accounts · 6 to 8
        Feb 14, 2012 to Mar 14, 2013
      • Advisory employees · unset to 8.0
        Feb 14, 2012 to Mar 14, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 14, 2013
      • Employees · unset to 12.0
        Feb 14, 2012 to Mar 14, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 14, 2013
      • Discretionary RAUM · $218M to $213M
        Feb 14, 2012 to Mar 14, 2013
      • RAUM · $218M to $213M
        Feb 14, 2012 to Mar 14, 2013
      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