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•••••• G••••• P•••••••• L••
Latest filing Mar 30, 2017
First filing on the tape Feb 13, 2012 · 8 filings
RAUM
$224M
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
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$224M gross assets
History
8 filings and snapshots on the tape
RAUM$224M as of Mar 30, 2017
Mar 27, 2013$766M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 27, 20130 then
Employees (5.A)7 as of Mar 30, 2017
Mar 27, 201318 then
Private funds6 as of Mar 30, 2017
Mar 27, 20136 then
RAUM -59% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
- $37.3MderivedRAUM 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
- -59%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
- $224M, 6 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)
- 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
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $224M for 6 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• G••••• P••••••• I• A••• L• | Private Equity Fund | $18.8M | 51 | Mar 27, 2013 |
| W•••••• B•••• C•••••• P••••••• V•• Q•• L••• | Private Equity Fund | $17.7M | 88 | Feb 13, 2012 |
| C•••••• G••••• P••••••• I•• L• | Private Equity Fund | $14.0M | 51 | Feb 13, 2012 |
| C•••••• G••••• P•••••••• L• | Private Equity Fund | $11.5M | 59 | Feb 13, 2012 |
| W•••••• B•••• C•••••• P••••••• V•• L••• | Private Equity Fund | $2.1M | 82 | Feb 13, 2012 |
| W•••••• B•••• C•••••• P••••••• V••• L••• | Private Equity Fund | $675,982 | 21 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• D••• · Managing Membercontrolsince 07/2004 · owns 10% to 25%
- C•••••••• D••••• G••••• · Managing Membercontrolsince 07/2004 · owns 10% to 25%
- D••••••• C••••• W•••• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- H••••• R•••••• P•••••• · Managing Membercontrolsince 07/2004 · owns 10% to 25%
- M••••••••• A••••••••• M••••••• · Managing Membercontrolsince 07/2004 · owns 10% to 25%
- M•••••• T••••••• M•••••• · Managing Membercontrolsince 07/2004 · owns 5% to 10%
Related persons
Schedule D 7.A
- C•••••• G••••• M••••••••• I• A••• L•pooled vehicle sponsorn
- C•••••• G••••• M••••••••• I•• L•pooled vehicle sponsorn
- C•••••• G••••• M••••••••• L•••pooled vehicle sponsorn
- W•••••• B•••• C•••••• M••••••••• V••• L••pooled vehicle sponsorn
- W•••••• B•••• C•••••• P••••••• V•• L•••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- La Jolla, CA
What changed
consecutive filings, newest first
- Advisory employees · 12 to 7Mar 30, 2016 to Mar 30, 2017
- Assets in custody · $540M to $224MMar 30, 2016 to Mar 30, 2017
- Employees · 14 to 7Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $540M to $224MMar 30, 2016 to Mar 30, 2017
- RAUM · $540M to $224MMar 30, 2016 to Mar 30, 2017
- Assets in custody · $662M to $540MMar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $662M to $540MMar 31, 2015 to Mar 30, 2016
- RAUM · $662M to $540MMar 31, 2015 to Mar 30, 2016
- Advisory employees · 16 to 12Mar 31, 2014 to Mar 31, 2015
- Assets in custody · $711M to $662MMar 31, 2014 to Mar 31, 2015
- Employees · 18 to 14Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $711M to $662MMar 31, 2014 to Mar 31, 2015
- RAUM · $711M to $662MMar 31, 2014 to Mar 31, 2015
- Assets in custody · $766M to $711MMar 27, 2013 to Mar 31, 2014
- Discretionary RAUM · $766M to $711MMar 27, 2013 to Mar 31, 2014
- RAUM · $766M to $711MMar 27, 2013 to Mar 31, 2014
- Accounts · 5 to 6Mar 19, 2013 to Mar 27, 2013
- Assets in custody · $761M to $766MMar 19, 2013 to Mar 27, 2013
- Private funds · 5 to 6Mar 19, 2013 to Mar 27, 2013
- Discretionary RAUM · $761M to $766MMar 19, 2013 to Mar 27, 2013
- RAUM · $761M to $766MMar 19, 2013 to Mar 27, 2013
- Assets in custody · $733M to $761MJan 17, 2013 to Mar 19, 2013
- Discretionary RAUM · $733M to $761MJan 17, 2013 to Mar 19, 2013
- RAUM · $733M to $761MJan 17, 2013 to Mar 19, 2013
- Advisory employees · unset to 16.0Feb 13, 2012 to Jan 17, 2013
- BD registered reps · unset to 0.0Feb 13, 2012 to Jan 17, 2013
- Employees · unset to 18.0Feb 13, 2012 to Jan 17, 2013
- State-registered IARs · unset to 0.0Feb 13, 2012 to Jan 17, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••• G••••• P•••••••• L•• · Private Equityshared crd · organization
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