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

T•••• S•••••••• L••

Former SEC-registered adviserRadford, VirginiaCRD 160690SEC 801-74161IAPD
Latest filing Jun 30, 2020
First filing on the tape Feb 14, 2012 · 21 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
51%
$551M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
25
$787M gross assets
History
21 filings and snapshots on the tape
RAUM$1.1B as of Mar 30, 2020
Apr 1, 2013$1.5B then
HNW client RAUM$551M as of Mar 30, 2020
Mar 30, 2018$692M then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Apr 1, 20130 then
Employees (5.A)21 as of Mar 30, 2020
Apr 1, 201326 then
Private funds25 as of Mar 30, 2020
Apr 1, 201323 then
RAUM -3.6% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2020; 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
$138MderivedHNW RAUM over HNW clients
Average account
$26.6MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$992M, 41 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$551M51%
  • Pooled investment vehicles$539M49%
Individual clients
n/areported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$992M for 41 clientsreported
Compensation
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
      32 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• R•••• M••••••••• V• L•no longer reportedPrivate Equity Fund$620M63Feb 14, 2012
      K•••••• J••• L••Hedge Fund$124M14Feb 14, 2012
      T•••• S••••••• S•••• 2••• L••Private Equity Fund$89.6M12Feb 14, 2012
      N•• V• H••••••• I• L••Private Equity Fund$74.3M89Feb 14, 2012
      T•••• S••••••• C•••••• P••••••• V• L••Hedge Fund$74.2M3Mar 30, 2018
      N•• R•••• M••••••••• I•• L•no longer reportedPrivate Equity Fund$59.1M37Feb 14, 2012
      T•••• S••••••• S••••• S•••• L••Hedge Fund$49.0M5Feb 14, 2012
      N•• V•• H••••••• I• L••Private Equity Fund$48.7M45Apr 1, 2013
      T•••• S••••••• S••••• S•••• 2••• L••Hedge Fund$48.6M8Feb 14, 2012
      N•••• C•••••• P•••••••• L•no longer reportedVenture Capital Fund$40.8M13Feb 14, 2012
      T•••• S••••••• S••••• S•••• 2••• L••Hedge Fund$40.5M3Feb 14, 2012
      M•••••• K•••••• L••Hedge Fund$30.3M13Apr 1, 2013
      K•••••• A••••••••• L••no longer reportedHedge Fund$28.2M3Feb 14, 2012
      T•••• S••••••• S••••• S•••• 2••• L••Hedge Fund$26.1M6Feb 14, 2012
      T•••• S••••••• S•••• 2••• L••Hedge Fund$24.0M12Feb 14, 2012
      T•••• S••••••• S•••• 2••• L••Hedge Fund$23.4M10Feb 14, 2012
      T•••• S••••••• S•••• 2••• L••Hedge Fund$22.3M12Feb 14, 2012
      T•••• S••••••• S•••• 2••• L••Hedge Fund$21.4M10Feb 14, 2012
      T• A••••••••• L••Hedge Fund$17.9M12Mar 30, 2020
      T•••• S••••••• I•••••••• 2••• L••Hedge Fund$14.5M42Feb 14, 2012
      T•••• S••••••• S•••• 2••• L••Hedge Fund$11.7M10Feb 14, 2012
      T•••• S••••••• I•••••••• 2••• L••Hedge Fund$11.4M39Feb 14, 2012
      T•••• S••••••• I•••••••• 2••• L••Hedge Fund$11.0M36Feb 14, 2012
      T•••• S••••••• I•••••••• 2••• L••Hedge Fund$7.9M25Feb 14, 2012
      T•••• S••••••• S••••• S•••• 2••• L••Hedge Fund$6.3M3Mar 30, 2016
      T•••• S••••••• S•••• 2••• L••Hedge Fund$6.3M8Mar 30, 2016
      T•••• S••••••• I•••••••• 2••• L••Hedge Fund$4.0M25Feb 14, 2012
      V••••••• V•••••••• L•no longer reportedVenture Capital Fund$193,37414Mar 31, 2014
      T•••• S••••••• R•• I•• L••Other Private Fund$32,2693Mar 30, 2018
      T•••• S••••••• R••• L••no longer reportedOther Private Fund$31,3013Mar 31, 2015
      T•••• S••••••• S•••• 2••• L••Hedge Fund$26,91811Mar 31, 2015
      T•••• S••••••• C•••••• P••••••• I•• L••no longer reportedOther Private Fund$22,2913Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• T•••••••• J••• · S••••• Managing Directorcontrol
        since 03/2020 · owns less than 5%
      • H••••••• C••••••• R• · Managing Director & Controllercontrol
        since 08/2007 · owns less than 5%
      • K•••• J•••••• P•••••• · Managing Directorcontrol
        since 03/2004 · owns less than 5%
      • K•••• R•••••• J•• · S••••• Managing Director & Chief Executive Officercontrol
        since 03/1999 · owns 75% or more
      • K••••••• D•••• L••• · Managing Director & Treasurercontrol
        since 04/2001 · owns less than 5%
      • L•••••••• S•••••••• · Managing Directorcontrol
        since 06/2020 · owns less than 5%
      • S••••• M•••••• E••••• · S••••• Managing Director, General Counsel & Chief Compliance Officercontrol
        since 03/1999 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T•••• S••••••• C•••••• P••••••• V•• L••
        pooled vehicle sponsory
      • T•••• S••••••• C•••••• P••••••• V••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA2 employees
      • West Palm Beach, FL1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 13
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $1.0B to $992M
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.1B to $1.1B
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · $525M to $551M
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $606M to $539M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $1.1B to $1.1B
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $1.5B to $1.0B
        Mar 30, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.6B to $1.1B
        Mar 30, 2018 to Mar 28, 2019
      • HNW RAUM · $692M to $525M
        Mar 30, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $931M to $606M
        Mar 30, 2018 to Mar 28, 2019
      • RAUM · $1.6B to $1.1B
        Mar 30, 2018 to Mar 28, 2019
      • Accounts · 45 to 41
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 12 to 11
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 4.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 37.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $2.2B to $1.5B
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 23 to 21
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 2.0
        Mar 31, 2017 to Mar 30, 2018
      • Private funds · 27 to 25
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $2.4B to $1.6B
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 691625829.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 930785493.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $2.4B to $1.6B
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 46 to 45
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $2.8B to $2.2B
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 21 to 23
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $3.0B to $2.4B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $3.0B to $2.4B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 45 to 46
        Apr 7, 2015 to Mar 30, 2016
      • Assets in custody · $2.5B to $2.8B
        Apr 7, 2015 to Mar 30, 2016
      • Employees · 22 to 21
        Apr 7, 2015 to Mar 30, 2016
      • Private funds · 25 to 27
        Apr 7, 2015 to Mar 30, 2016
      • Discretionary RAUM · $2.6B to $3.0B
        Apr 7, 2015 to Mar 30, 2016
      • RAUM · $2.6B to $3.0B
        Apr 7, 2015 to Mar 30, 2016
      • Advisory employees · 15 to 12
        Jan 13, 2015 to Mar 31, 2015
      • Assets in custody · $2.5B to $2.5B
        Jan 13, 2015 to Mar 31, 2015
      • Employees · 24 to 22
        Jan 13, 2015 to Mar 31, 2015
      • Private funds · 24 to 25
        Jan 13, 2015 to Mar 31, 2015
      • Discretionary RAUM · $2.6B to $2.6B
        Jan 13, 2015 to Mar 31, 2015
      • RAUM · $2.6B to $2.6B
        Jan 13, 2015 to Mar 31, 2015
      Signals
      4 dated events
      • S•••••••• L••••••• (Managing Director) appeared on Schedule A of T•••• S•••••••• L••
        Jun 30, 2020 · Control person joined · fact
      • Horton Jason Gabriel (Managing Director) no longer on Schedule A of T•••• S•••••••• L•• (listed 2019-03-28, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • T•••• S•••••••• L•• reported RAUM $1.1B, down 30% from $1.6B (2018-03-30 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • T•••• S•••••••• L•• reported RAUM $1.6B, down 32% from $2.4B (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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