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•••••••• V•••••• P••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 162147SEC 801-76615IAPD
Latest filing Oct 9, 2013
First filing on the tape Apr 23, 2012 · 9 filings
RAUM
$11.1M
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
n/a
beyond the principal office
Private funds
9
$11.1M gross assets
History
9 filings and snapshots on the tape
RAUM$11.1M as of Oct 9, 2013
Apr 23, 2012$27.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 9, 2013
Mar 25, 20130 then
Employees (5.A)2 as of Oct 9, 2013
Mar 25, 20132 then
Private funds9 as of Oct 9, 2013
Apr 23, 201211 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 9, 2013; 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
$1.2MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••••••• V•••••• P••••••• I••• L•••Venture Capital Fund$5.1M54Apr 23, 2012
      S••• B•• T••••••••• V•••••• I•• L•••no longer reportedVenture Capital Fund$5.0M88Apr 23, 2012
      L•• C•••••• I•••••••• I•• L•••Venture Capital Fund$1.7M35Mar 25, 2013
      L••••••••• I• L••Venture Capital Fund$1.5M11Apr 23, 2012
      L••••••••• I••• L••Venture Capital Fund$1.3M13Mar 25, 2013
      L•••••••• V•••••• P••••••• I•• A•••• F•••• L•••Venture Capital Fund$1.0M47Apr 23, 2012
      S••• B•• P•••••••• L•••no longer reportedVenture Capital Fund$710,86233Apr 23, 2012
      L•• I•• A••••••••• L•Venture Capital Fund$211,5373Apr 23, 2012
      L••••••••• L••Venture Capital Fund$199,82812Apr 23, 2012
      L•• C•••••• I•••••••• I•• L•••Venture Capital Fund$138,40838Apr 23, 2012
      S••• B•• E••••••••• L•••no longer reportedVenture Capital Fund$137,7142Apr 23, 2012
      S••• B•• A••••••••• L•••no longer reportedVenture Capital Fund$103,7246Apr 23, 2012
      L•• C•••••• I••••••••• L•••Venture Capital Fund$042Apr 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• P•••••• N••••• · Managing Member/Chief Compliance Officercontrol
        since 06/1996 · owns 75% or more
      Related persons
      Schedule D 7.A
      • G••••••••• S•••••••• A••••••• L••
        pooled vehicle sponsory
      • L•••••••• V•••••• M••••••••• I•• L••
        pooled vehicle sponsory
      • P••••• N• L••••••••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        May 17, 2013 to Aug 12, 2013
      • Accounts · 10 to 9
        Apr 23, 2012 to Mar 25, 2013
      • Advisory employees · unset to 2.0
        Apr 23, 2012 to Mar 25, 2013
      • BD registered reps · unset to 0.0
        Apr 23, 2012 to Mar 25, 2013
      • Assets in custody · 240988.0 to unset
        Apr 23, 2012 to Mar 25, 2013
      • Custody of client assets · true to false
        Apr 23, 2012 to Mar 25, 2013
      • Employees · unset to 2.0
        Apr 23, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Apr 23, 2012 to Mar 25, 2013
      • Legal name · L••••••••, P••••• N. to L•••••••• V•••••• P••••••• L••
        Apr 23, 2012 to Mar 25, 2013
      • Private funds · 11 to 9
        Apr 23, 2012 to Mar 25, 2013
      • Discretionary RAUM · $27.6M to $11.1M
        Apr 23, 2012 to Mar 25, 2013
      • RAUM · $27.6M to $11.1M
        Apr 23, 2012 to Mar 25, 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