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
S•••• C•••••• M••••••••• L•••••
Latest filing Mar 27, 2014
First filing on the tape Feb 13, 2012 · 9 filings
RAUM
$6.4B
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
13
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$6.4B gross assets
History
9 filings and snapshots on the tape
RAUM$6.4B as of Mar 27, 2014
Mar 27, 2013$6.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2014
Mar 27, 20130 then
Employees (5.A)13 as of Mar 27, 2014
Mar 27, 201327 then
Private funds4 as of Mar 27, 2014
Mar 27, 20134 then
RAUM -0.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $1.6BderivedRAUM 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
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $6.4B, 4 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
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
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.4B for 4 clientsreported
- Compensation
- n/areported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• C•••••• M••••• F•••• L••• | Hedge Fund | $4.0B | 0 | Feb 13, 2012 |
| S•••• C•••••• P••••••• I•• L••• | Hedge Fund | $1.7B | 0 | Feb 13, 2012 |
| S•••• C•••••• L••• T•••• L••• | Hedge Fund | $397M | 0 | Feb 13, 2012 |
| S•••• C•••••• L••• T••• M•••••• L••• | Hedge Fund | $211M | 0 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••••• W•••• · Managing Member, Co-Founder, Co-Portfolio Managercontrolsince 07/1999 · owns 50% to 75%
- C••••••••• L•••••• C••••• · Managing Director, Chief Financial Officercontrolsince 04/2013 · owns less than 5%
- K••••••••• K••••• S••••• · Presidentcontrolsince 11/2012 · owns less than 5%
- R•••• E•••• C•••••• · Managing Director, General Counsel And Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- W••••• A•••• M•••••• · Managing Member, Co-Founder, Co-Portfolio Managercontrolsince 07/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- S•••• C••••••• L•••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Palo Alto, CA
What changed
consecutive filings, newest first
- Accounts · 6 to 4Jan 2, 2014 to Mar 27, 2014
- Advisory employees · 15 to 2Jan 2, 2014 to Mar 27, 2014
- Assets in custody · $6.4B to $6.4BJan 2, 2014 to Mar 27, 2014
- Employees · 27 to 13Jan 2, 2014 to Mar 27, 2014
- Discretionary RAUM · $6.4B to $6.4BJan 2, 2014 to Mar 27, 2014
- RAUM · $6.4B to $6.4BJan 2, 2014 to Mar 27, 2014
- Related bank · true to falseJan 2, 2014 to Mar 27, 2014
- Advisory employees · 12 to 15Feb 21, 2013 to Mar 27, 2013
- Assets in custody · $5.2B to $6.4BFeb 21, 2013 to Mar 27, 2013
- Employees · 28 to 27Feb 21, 2013 to Mar 27, 2013
- Discretionary RAUM · $5.2B to $6.4BFeb 21, 2013 to Mar 27, 2013
- RAUM · $5.2B to $6.4BFeb 21, 2013 to Mar 27, 2013
- Advisory employees · unset to 12.0Feb 13, 2012 to Jan 29, 2013
- BD registered reps · unset to 0.0Feb 13, 2012 to Jan 29, 2013
- Employees · unset to 28.0Feb 13, 2012 to Jan 29, 2013
- State-registered IARs · unset to 0.0Feb 13, 2012 to Jan 29, 2013
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