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

L••••• C•••••• P••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 161397SEC 801-74014IAPD
Latest filing Feb 24, 2015
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$252M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$252M gross assets
History
8 filings and snapshots on the tape
RAUM$252M as of Feb 24, 2015
Mar 12, 2013$171M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 24, 2015
Mar 12, 20130 then
Employees (5.A)5 as of Feb 24, 2015
Mar 12, 20139 then
Private funds2 as of Feb 24, 2015
Mar 12, 20131 then
RAUM -21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 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
$84.1MderivedRAUM 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
-21%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
$252M, 3 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)
  • 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)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$252M for 3 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
      L••••• T••••••• M••••• F•••• L•••Hedge Fund$247M10Feb 14, 2012
      L••••• C•••••• 1• L•Venture Capital Fund$5.0M10Feb 24, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• S••••• C•••••••• · Chief Operating Officer & Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • L•••••• D•••• · President, Sole Manager And Membercontrol
        since 10/2011 · owns 75% or more
      Related persons
      Schedule D 7.A
      • L••••• C•••••• G• L••
        pooled vehicle sponsory
      • L••••• T••••••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Feb 20, 2014 to Feb 24, 2015
      • Advisory employees · 4 to 2
        Feb 20, 2014 to Feb 24, 2015
      • Assets in custody · $321M to $252M
        Feb 20, 2014 to Feb 24, 2015
      • Employees · 7 to 5
        Feb 20, 2014 to Feb 24, 2015
      • Private funds · 1 to 2
        Feb 20, 2014 to Feb 24, 2015
      • Discretionary RAUM · $321M to $252M
        Feb 20, 2014 to Feb 24, 2015
      • RAUM · $321M to $252M
        Feb 20, 2014 to Feb 24, 2015
      • Accounts · 3 to 2
        Nov 14, 2013 to Feb 20, 2014
      • Assets in custody · $235M to $321M
        Nov 14, 2013 to Feb 20, 2014
      • Discretionary RAUM · $235M to $321M
        Nov 14, 2013 to Feb 20, 2014
      • RAUM · $235M to $321M
        Nov 14, 2013 to Feb 20, 2014
      • Advisory employees · 5 to 4
        Jul 19, 2013 to Nov 14, 2013
      • Employees · 9 to 7
        Jul 19, 2013 to Nov 14, 2013
      • Assets in custody · $171M to $235M
        Mar 12, 2013 to Apr 24, 2013
      • Discretionary RAUM · $171M to $235M
        Mar 12, 2013 to Apr 24, 2013
      • RAUM · $171M to $235M
        Mar 12, 2013 to Apr 24, 2013
      • Advisory employees · unset to 5.0
        Jul 6, 2012 to Mar 12, 2013
      • BD registered reps · unset to 0.0
        Jul 6, 2012 to Mar 12, 2013
      • Assets in custody · $165M to $171M
        Jul 6, 2012 to Mar 12, 2013
      • Employees · unset to 9.0
        Jul 6, 2012 to Mar 12, 2013
      • State-registered IARs · unset to 0.0
        Jul 6, 2012 to Mar 12, 2013
      • Discretionary RAUM · $165M to $171M
        Jul 6, 2012 to Mar 12, 2013
      • RAUM · $165M to $171M
        Jul 6, 2012 to Mar 12, 2013
      • Assets in custody · $110 to $165M
        Feb 14, 2012 to Jul 6, 2012
      • Discretionary RAUM · $110 to $165M
        Feb 14, 2012 to Jul 6, 2012
      • RAUM · $110 to $165M
        Feb 14, 2012 to Jul 6, 2012
      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