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•••••••• V•••••• M••••••••• L••

Former SEC-registered adviserPark City, UtahCRD 161076SEC 801-79026IAPD
Latest filing Mar 31, 2015
First filing on the tape Dec 24, 2013 · 3 filings
RAUM
$137M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$137M gross assets
History
3 filings and snapshots on the tape
RAUM$137M as of Mar 31, 2015
Dec 24, 2013$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Dec 24, 20130 then
Employees (5.A)3 as of Mar 31, 2015
Dec 24, 20133 then
Private funds6 as of Mar 31, 2015
Dec 24, 201312 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2015; 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
$22.8MderivedRAUM 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
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
noreported
Compensation
% of AUMreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• I•• L•••Venture Capital Fund$70.2M89Sep 19, 2013
      C•••••••• I• A• • C•• B••••••••• K•Venture Capital Fund$3.3M12Sep 19, 2013
      C•••••••• I• E••••••••• F•••• L•••Venture Capital Fund$1.6M89Sep 19, 2013
      C•••••••• I• E••••••••• F••• A• L•••Venture Capital Fund$655,76363Sep 19, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• J•••• A••••• · Managing Membercontrol
        since 08/1999 · owns 10% to 25%
      • C•••••••• W••••• C•••• · Managing Member/Chief Compliance Officercontrol
        since 12/2004 · owns 50% to 75%
      • S•••••• R•••••• D•••• · Managing Membercontrol
        since 03/1989 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Palo Alto, CA
      What changed
      consecutive filings, newest first
      • RAUM · $155M to $137M
        Jan 8, 2014 to Mar 31, 2015
      • HQ city · unset to PARK CITY
        Jan 8, 2014 to Mar 31, 2015
      • HQ state · unset to UT
        Jan 8, 2014 to Mar 31, 2015
      • Discretionary RAUM · $155M to $137M
        Jan 8, 2014 to Mar 31, 2015
      • Private funds · 12 to 6
        Dec 24, 2013 to Jan 8, 2014
      Signals
      1 dated events
      • C•••••••• V•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 24, 2013 · First SEC registration · fact
      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