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

I••••••• C•••••• A•••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 162367SEC 801-74566IAPD
Latest filing Oct 19, 2016
First filing on the tape Mar 9, 2012 · 8 filings
RAUM
$302M
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
21
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$105M gross assets
History
8 filings and snapshots on the tape
RAUM$302M as of Apr 6, 2016
Mar 26, 2013$129M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Apr 6, 2016
Mar 26, 20133 then
Employees (5.A)21 as of Apr 6, 2016
Mar 26, 201321 then
Private funds10 as of Apr 6, 2016
Mar 26, 20137 then
RAUM -10% over the last fiscal year+33% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Oct 19, 2016; every figure names its basis
RAUM per advisor
$60.4MderivedRAUM 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
$30.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$302M, 10 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
  • 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)
  • 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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$302M for 10 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    9 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    I••••••• C•••••• L•••• A•••••• O••••••••• F••• I• L•Real Estate Fund$72.8M4Apr 6, 2016
    B••••••• C•••••• P••••••• I• L•••Real Estate Fund$53.2M103Mar 9, 2012
    B••••••• C•••••• T••••• I•••Real Estate Fund$21.9M394Mar 9, 2012
    I••••••• C•••••• R••• A••••• I•• L••Real Estate Fund$17.9M2Mar 26, 2013
    I••••••• C•••••• E••••• H•••••••• L••no longer reportedReal Estate Fund$8.0M2Mar 26, 2013
    B••••••• C•••••• P••••••• I•• L•••Real Estate Fund$5.2M12Mar 9, 2012
    I••••••• C•••••• R•••••• I• L•••Real Estate Fund$5.1M6Mar 9, 2012
    I••••••• C•••••• R••• A••••• I• L•no longer reportedReal Estate Fund$5.0M2Mar 26, 2013
    I••••••• C•••••• E••••• C••••• P•••••••• L•Securitized Asset Fund$4.2M1Mar 30, 2015
    Owners and control persons
    Schedule A and B, latest filing
    • V••••••••• N•••••• D••• · Presidentcontrol
      since 10/2010 · owns less than 5%
    • W••••••••• D••••••• S•••••• · Chief Compliance Officercontrol
      since 02/2012 · owns less than 5%
    • V••••••••• N•••••• D••• · Membercontrol
      since 10/2009 · owns 50% to 75% of I••••••• C•••••• H•••••••• L••
    Entity owners
    • I••••••• C•••••• H•••••••• L•• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Private funds · 10 to 5
      Apr 6, 2016 to Oct 19, 2016
    • Accounts · 7 to 10
      Mar 30, 2015 to Apr 6, 2016
    • Assets in custody · $19.3M to $302M
      Mar 30, 2015 to Apr 6, 2016
    • Private funds · 9 to 10
      Mar 30, 2015 to Apr 6, 2016
    • Discretionary RAUM · $336M to $302M
      Mar 30, 2015 to Apr 6, 2016
    • RAUM · $336M to $302M
      Mar 30, 2015 to Apr 6, 2016
    • Accounts · 6 to 7
      Mar 31, 2014 to Mar 30, 2015
    • Private funds · 7 to 9
      Mar 31, 2014 to Mar 30, 2015
    • Discretionary RAUM · $144M to $336M
      Mar 31, 2014 to Mar 30, 2015
    • RAUM · $144M to $336M
      Mar 31, 2014 to Mar 30, 2015
    • Accounts · 5 to 6
      Nov 6, 2013 to Mar 31, 2014
    • State-registered IARs · 3 to 5
      Nov 6, 2013 to Mar 31, 2014
    • Discretionary RAUM · $129M to $144M
      Nov 6, 2013 to Mar 31, 2014
    • RAUM · $129M to $144M
      Nov 6, 2013 to Mar 31, 2014
    • Accounts · 4 to 5
      Mar 9, 2012 to Mar 26, 2013
    • Advisory employees · unset to 6.0
      Mar 9, 2012 to Mar 26, 2013
    • BD registered reps · unset to 0.0
      Mar 9, 2012 to Mar 26, 2013
    • Employees · unset to 21.0
      Mar 9, 2012 to Mar 26, 2013
    • State-registered IARs · unset to 3.0
      Mar 9, 2012 to Mar 26, 2013
    • Private funds · 4 to 7
      Mar 9, 2012 to Mar 26, 2013
    • Discretionary RAUM · $119M to $129M
      Mar 9, 2012 to Mar 26, 2013
    • RAUM · $119M to $129M
      Mar 9, 2012 to Mar 26, 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
    Across the graphs

    I••••••• C•••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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