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

J• P•••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 161176SEC 801-74086IAPD
Latest filing Sep 10, 2015
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$465M
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
8
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
14
$487M gross assets
History
7 filings and snapshots on the tape
RAUM$465M as of Mar 31, 2015
Mar 27, 2013$431M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 27, 20130 then
Employees (5.A)8 as of Mar 31, 2015
Mar 27, 201316 then
Private funds14 as of Mar 31, 2015
Mar 27, 20138 then
RAUM -4.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 10, 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
$33.2MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.9%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
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)
  • 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)
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
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J• C•••••• P••••••• I•• L•••Private Equity Fund$3.8M26Feb 14, 2024
      J•• C•••••• P••••••• L•Private Equity Fund$3.6M29Mar 29, 2018
      J• I••••••••• P••••••• I••• L•••Private Equity Fund$541,00022Feb 14, 2012
      J• D• I••••••••• L••Private Equity Fund$351,00012Mar 31, 2015
      J• P••••••• E•••••••• F•••• L•••Private Equity Fund$327,2557Feb 14, 2012
      F••••••••• L••Private Equity Fund$28,0001Mar 31, 2015
      J• T••••• L••Private Equity Fund$013Mar 31, 2015
      F••••• H•••••••• L••Private Equity Fund$010Mar 31, 2015
      J• I••••••••• P••••••• G• F••• I••• L••Private Equity Fund$03Feb 14, 2012
      J• N•••••• C•••••Private Equity Fund$07Mar 31, 2015
      J• I••••••••• P•••••••• L•••Private Equity Fund$069Feb 14, 2012
      J• I••••••••• P••••••• G• F••• I•• L••Securitized Asset Fund$011Feb 14, 2012
      J• I••••••••• P••••••• I•• L•••Private Equity Fund$080Feb 14, 2012
      J• I••••••••• P••••••• G• F•••• L••Private Equity Fund$015Feb 14, 2012
      J• I••••••••• P••••••• I• •••• L•••Private Equity Fund$08Feb 14, 2012
      J• A•• A••••••••• L••Private Equity Fund$050Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• S••••••• B••• · Partner, Chief Financial Officer & Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • H•••••• J•••• C•••• · President, Partnercontrol
        since 03/1998 · owns less than 5%
      • J•••• M••••••• J••••• · Partnercontrol
        since 04/2004 · owns less than 5%
      • H•••••• J•••• C•••• · Trusteecontrol
        since 08/2006 · owns 75% or more of H••••• F••••• T••••
      • V••••••••• K••••••••• •••• · Trusteecontrol
        since 08/2006 · owns 75% or more of H••••• F••••• T••••
      Entity owners
      • H••••• C•••••• M••••••••• · Managing Member
        direct · owns 75% or more
      • H••••• F••••• T•••• · Owner, Managing Member
        indirect · owns 75% or more of H••••• C•••••• M•••••••••
      Related persons
      Schedule D 7.A
      • G••••• L•••••••• C•••••• H•••••••• L••
        pooled vehicle sponsorn
      • J• C•••••• P••••••• I•• L•••
        pooled vehicle sponsory
      • J• E•••••••• M••••••••• L••
        pooled vehicle sponsorn
      • J• I••••••••• M••••••••• I•• L••
        pooled vehicle sponsorn
      • J• I••••••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 14
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 9 to 8
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 8 to 14
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $489M to $465M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $489M to $465M
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 13 to 7
        Jun 13, 2013 to Mar 31, 2014
      • Employees · 16 to 9
        Jun 13, 2013 to Mar 31, 2014
      • Discretionary RAUM · $431M to $489M
        Jun 13, 2013 to Mar 31, 2014
      • RAUM · $431M to $489M
        Jun 13, 2013 to Mar 31, 2014
      • Advisory employees · unset to 13.0
        Feb 14, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 27, 2013
      • Employees · unset to 16.0
        Feb 14, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.0B to $431M
        Feb 14, 2012 to Mar 27, 2013
      • RAUM · $1.0B to $431M
        Feb 14, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      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