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•••••• F•••••• M••••••••• C••••••• L••

Former SEC-registered adviserMill Valley, CaliforniaCRD 160764SEC 801-74621IAPD
Latest filing May 3, 2019
First filing on the tape Mar 14, 2012 · 9 filings
RAUM
$146M
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
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$159M gross assets
History
9 filings and snapshots on the tape
RAUM$146M as of May 3, 2019
Apr 1, 2013$385M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 3, 2019
Apr 1, 20130 then
Employees (5.A)2 as of May 3, 2019
Apr 1, 20137 then
Private funds5 as of May 3, 2019
Apr 1, 20134 then
RAUM -27% over the last fiscal year-21% a year over threeIARs 0 to 0offices 3 to 1
Practice profile
derived from the filing of May 3, 2019; 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
$29.3MderivedRAUM 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
-27%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
$146M, 5 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
  • 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
  • Pooled investment vehicles$146M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$146M for 5 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
      C••••• P••••••• L••Hedge Fund$42.9M3Mar 14, 2012
      L•••• A•••••• E••••• F•••••• F••• I• L•Hedge Fund$17.7M2Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• R•••••• S•••• · Founder/President/Ccocontrol
        since 07/2003 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 1
        Mar 31, 2018 to May 3, 2019
      • Assets in custody · $201M to $146M
        Mar 31, 2018 to May 3, 2019
      • Employees · 8 to 2
        Mar 31, 2018 to May 3, 2019
      • HQ city · SAN FRANCISCO to MILL VALLEY
        Mar 31, 2018 to May 3, 2019
      • Other offices · 3 to 1
        Mar 31, 2018 to May 3, 2019
      • Discretionary RAUM · $201M to $146M
        Mar 31, 2018 to May 3, 2019
      • Pooled vehicle RAUM · $201M to $146M
        Mar 31, 2018 to May 3, 2019
      • RAUM · $201M to $146M
        Mar 31, 2018 to May 3, 2019
      • Pooled vehicle clients · unset to 5.0
        Mar 31, 2017 to Mar 31, 2018
      • Assets in custody · $296M to $201M
        Mar 31, 2017 to Mar 31, 2018
      • Employees · 7 to 8
        Mar 31, 2017 to Mar 31, 2018
      • Other offices · unset to 3.0
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $296M to $201M
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 201014761.0
        Mar 31, 2017 to Mar 31, 2018
      • RAUM · $296M to $201M
        Mar 31, 2017 to Mar 31, 2018
      • Assets in custody · $292M to $296M
        Mar 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $292M to $296M
        Mar 31, 2016 to Mar 31, 2017
      • RAUM · $292M to $296M
        Mar 31, 2016 to Mar 31, 2017
      • Advisory employees · 3 to 4
        Mar 31, 2015 to Mar 31, 2016
      • Assets in custody · $333M to $292M
        Mar 31, 2015 to Mar 31, 2016
      • Discretionary RAUM · $333M to $292M
        Mar 31, 2015 to Mar 31, 2016
      • RAUM · $333M to $292M
        Mar 31, 2015 to Mar 31, 2016
      • Accounts · 4 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $387M to $333M
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 4 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $387M to $333M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $387M to $333M
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $386M to $387M
        Jun 11, 2013 to Mar 31, 2014
      • Discretionary RAUM · $386M to $387M
        Jun 11, 2013 to Mar 31, 2014
      • RAUM · $386M to $387M
        Jun 11, 2013 to Mar 31, 2014
      • Assets in custody · $385M to $386M
        Apr 1, 2013 to Jun 11, 2013
      • Discretionary RAUM · $385M to $386M
        Apr 1, 2013 to Jun 11, 2013
      • RAUM · $385M to $386M
        Apr 1, 2013 to Jun 11, 2013
      • Related adviser · true to false
        Apr 1, 2013 to Jun 11, 2013
      • Advisory employees · unset to 3.0
        Mar 14, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 14, 2012 to Apr 1, 2013
      • Assets in custody · $325M to $385M
        Mar 14, 2012 to Apr 1, 2013
      • Employees · unset to 7.0
        Mar 14, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 14, 2012 to Apr 1, 2013
      • Discretionary RAUM · $325M to $385M
        Mar 14, 2012 to Apr 1, 2013
      Signals
      2 dated events
      • F. James Prusky (Head Of Business Development/Cco) no longer on Schedule A of C•••••• F•••••• M••••••••• C••••••• L•• (listed 2018-03-31, absent 2019-05-03)
        May 3, 2019 · Control person left · inference
      • Oswaldo Sandoval (Managing Director) no longer on Schedule A of C•••••• F•••••• M••••••••• C••••••• L•• (listed 2018-03-31, absent 2019-05-03)
        May 3, 2019 · Control person left · inference
      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