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

P••• C•••••• M••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 160553SEC 801-73124IAPD
Latest filing Mar 28, 2016
First filing on the tape Jan 31, 2012 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2015
Mar 26, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2016
Mar 26, 20131 then
Employees (5.A)4 as of Mar 28, 2016
Mar 26, 20136 then
Private funds1 as of Mar 28, 2016
Mar 26, 20131 then
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
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
n/areported
Financial planning clients
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• P•••••••• L•••no longer reportedHedge Fund$17.0M1Jan 31, 2012
      P••• C•••••• M••••••• S••••••• F••• ••••• L•••Hedge Fund$01Jan 31, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• R••••••• E••••• · Managing Membercontrol
        since 01/2012 · owns 25% to 50%
      • H•••••• T••••••• H••• · Portfolio Managercontrol
        since 01/2012 · owns 10% to 25%
      • M•••••••• J••••• T•••••• · Ccocontrol
        since 01/2012 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list P••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Feb 12, 2016 to Mar 28, 2016
      • Advisory employees · 2 to 1
        Feb 12, 2016 to Mar 28, 2016
      • BD registered reps · 5 to 4
        Feb 12, 2016 to Mar 28, 2016
      • Employees · 6 to 4
        Feb 12, 2016 to Mar 28, 2016
      • Discretionary RAUM · 0.0 to unset
        Feb 12, 2016 to Mar 28, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Feb 12, 2016 to Mar 28, 2016
      • RAUM · 0.0 to unset
        Feb 12, 2016 to Mar 28, 2016
      • Accounts · unset to 0.0
        Nov 19, 2014 to Mar 31, 2015
      • Discretionary RAUM · unset to 0.0
        Nov 19, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · unset to 0.0
        Nov 19, 2014 to Mar 31, 2015
      • RAUM · unset to 0.0
        Nov 19, 2014 to Mar 31, 2015
      • Accounts · 0.0 to unset
        Nov 12, 2013 to Mar 28, 2014
      • Discretionary RAUM · 0.0 to unset
        Nov 12, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Nov 12, 2013 to Mar 28, 2014
      • RAUM · 0.0 to unset
        Nov 12, 2013 to Mar 28, 2014
      • Advisory employees · unset to 2.0
        May 31, 2012 to Mar 26, 2013
      • BD registered reps · unset to 5.0
        May 31, 2012 to Mar 26, 2013
      • Employees · unset to 6.0
        May 31, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 1.0
        May 31, 2012 to Mar 26, 2013
      • Private funds · 2 to 1
        Feb 22, 2012 to Mar 29, 2012
      Signals
      No event on the tape.
      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