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.

Former SEC-registered adviser

Triton Pacific Adviser, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 162406SEC 801-76862IAPD
Latest filing Mar 29, 2019
First filing on the tape Jun 26, 2012 · 13 filings
RAUM
$21.6M
reported, Item 5.F
Discretionary
81%
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$4.1M gross assets
History
13 filings and snapshots on the tape
RAUM$21.6M as of Mar 29, 2019
Apr 1, 2013$63.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Apr 1, 20130 then
Employees (5.A)7 as of Mar 29, 2019
Apr 1, 20137 then
Private funds5 as of Mar 29, 2019
Apr 1, 201311 then
RAUM -18% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
81%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
-18%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 vehicles, portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.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
  • Pooled investment vehicles$4.1M100%
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 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
      18 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Upa Investors, LPPrivate Equity Fund$162M30Jun 24, 2021
      Ipa Investors, LPPrivate Equity Fund$57.3M28Mar 30, 2023
      Bm Tigers, LPPrivate Equity Fund$23.7M61Jun 24, 2021
      Iwp Tigers, LPPrivate Equity Fund$11.1M41Jun 24, 2021
      Map Tigers, LPPrivate Equity Fund$6.4M29Jun 24, 2021
      Wpx Investors II, LLCPrivate Equity Fund$3.3M17Mar 31, 2022
      Triton Pacific Platinum Fund III, LPPrivate Equity Fund$2.0M56Jun 26, 2012
      Triton Pacific Income & Growth Fund I, LLCPrivate Equity Fund$770,02994Jun 26, 2012
      Triton Pacific Income & Growth Fund III, LLCPrivate Equity Fund$514,65593Jun 26, 2012
      Triton Pacific Income & Growth Fund II (Q), LLCPrivate Equity Fund$440,31537Jun 26, 2012
      Triton Pacific Growth & Income Fund II, LLCPrivate Equity Fund$360,61182Jun 26, 2012
      Triton Pacific Income & Growth Fund I (Q), LLCPrivate Equity Fund$339,29036Jun 26, 2012
      Triton Pacific Growth & Income Fund II(Q), LLCPrivate Equity Fund$243,92157Jun 26, 2012
      Triton Pacific Income & Growth Fund IV, LPPrivate Equity Fund$226,63587Jun 26, 2012
      Triton Pacific Platinum Fund IV, LPPrivate Equity Fund$94,84131Jun 26, 2012
      Triton Pacific Income & Growth Fund II, LLCPrivate Equity Fund$79,73514Jun 26, 2012
      Wpx Investors, LllpPrivate Equity Fund$027Mar 31, 2022
      Triton Pacific Co-Investment Fund II, LPPrivate Equity Fund$03Jun 26, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Jeffrey Craig Faggen · Member/Presidentcontrol
        since 04/2011 · owns 10% to 25%
      • Jeffrey Craig Faggen · Ownercontrol
        since 04/1996 · owns 75% or more of Triton Pacific Group, Inc.
      • Jeffrey Craig Faggen · Trusteecontrol
        since 01/2008 · owns 75% or more of Faggen Family Trust
      • Louis Michael Carroll · Chief Compliance Officer And Chief Financial Officer
        since 06/2012 · owns less than 5%
      • Ivan Faggen · Managing Partner
        since 04/2011 · owns 5% to 10%
      Entity owners
      • Faggen Family Trust · Member
        direct · owns 75% or more
      • Triton Pacific Group, Inc. · Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • Tpcp Fund Manager I, LLC
        pooled vehicle sponsorn
      • Tpcp Fund Manager IV, LLC
        pooled vehicle sponsorn
      • Tpcp Fund Manager, LLC
        pooled vehicle sponsorn
      • Tpcp Investment V, LLC
        pooled vehicle sponsorn
      • Tpcp Investment Vi, LLC
        pooled vehicle sponsorn
      • Tpcp Investment Xiii, LLC
        pooled vehicle sponsorn
      • Tpcp Investment Xiv, LLC
        pooled vehicle sponsorn
      • Tpcp Investment Xxxiii, LLC
        pooled vehicle sponsorn
      • Tpcp Investment Xxxv, LLC
        pooled vehicle sponsorn
      • Triton Pacific Capital Partners, LLC
        n
      • Triton Pacific Securities, LLC
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 6
        Apr 2, 2018 to Mar 29, 2019
      • BD registered reps · 2 to 3
        Apr 2, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 1 to 5
        Apr 2, 2018 to Mar 29, 2019
      • Employees · 6 to 7
        Apr 2, 2018 to Mar 29, 2019
      • Private funds · 11 to 5
        Apr 2, 2018 to Mar 29, 2019
      • Discretionary RAUM · $18.1M to $17.6M
        Apr 2, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $8.2M to $4.1M
        Apr 2, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $8.2M to $4.1M
        Apr 2, 2018 to Mar 29, 2019
      • RAUM · $26.3M to $21.6M
        Apr 2, 2018 to Mar 29, 2019
      • BD registered reps · 3 to 2
        Mar 31, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Apr 2, 2018
      • Employees · 7 to 6
        Mar 31, 2017 to Apr 2, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Apr 2, 2018
      • Discretionary RAUM · $14.6M to $18.1M
        Mar 31, 2017 to Apr 2, 2018
      • Non-discretionary RAUM · $15.3M to $8.2M
        Mar 31, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 8202872.0
        Mar 31, 2017 to Apr 2, 2018
      • RAUM · $29.8M to $26.3M
        Mar 31, 2017 to Apr 2, 2018
      • Advisory employees · 6 to 5
        May 10, 2016 to Mar 31, 2017
      • Advisory activities · 1 to 2
        May 10, 2016 to Mar 31, 2017
      • Discretionary RAUM · $7.6M to $14.6M
        May 10, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $43.1M to $15.3M
        May 10, 2016 to Mar 31, 2017
      • RAUM · $50.7M to $29.8M
        May 10, 2016 to Mar 31, 2017
      • Discretionary RAUM · $3.7M to $7.6M
        Jul 22, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $50.8M to $43.1M
        Jul 22, 2015 to Mar 30, 2016
      • RAUM · $54.5M to $50.7M
        Jul 22, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $82.5M to $50.8M
        Mar 26, 2015 to Jul 22, 2015
      • RAUM · $86.2M to $54.5M
        Mar 26, 2015 to Jul 22, 2015
      • Discretionary RAUM · $0 to $3.7M
        Mar 31, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $63.0M to $82.5M
        Mar 31, 2014 to Mar 26, 2015
      • RAUM · $63.0M to $86.2M
        Mar 31, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $63.0M to $63.0M
        Sep 26, 2013 to Mar 31, 2014
      • RAUM · $63.0M to $63.0M
        Sep 26, 2013 to Mar 31, 2014
      • Advisory employees · unset to 6.0
        Jul 24, 2012 to Apr 1, 2013
      • BD registered reps · unset to 3.0
        Jul 24, 2012 to Apr 1, 2013
      • Assets in custody · 66000000.0 to unset
        Jul 24, 2012 to Apr 1, 2013
      • Employees · unset to 7.0
        Jul 24, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jul 24, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $66.2M to $63.0M
        Jul 24, 2012 to Apr 1, 2013
      • RAUM · $66.2M to $63.0M
        Jul 24, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • Triton Pacific Adviser, Llc filed its initial SEC registration (Form ADV)
        Jun 26, 2012 · 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