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•••••• P•••••••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 162620SEC 801-75358IAPD
Latest filing Mar 25, 2022
First filing on the tape Mar 29, 2012 · 28 filings
RAUM
$698M
reported, Item 5.F
Discretionary
85%
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
31
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$593M gross assets
History
28 filings and snapshots on the tape
RAUM$698M as of Mar 25, 2022
Mar 4, 2013$560M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2022
Mar 4, 20130 then
Employees (5.A)31 as of Mar 25, 2022
Mar 4, 201315 then
Private funds6 as of Mar 25, 2022
Mar 4, 20135 then
RAUM -0.3% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2022; 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
$69.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.3%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, fixed fees, performance-based, otherreportedItem 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
  • 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)
  • 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$698M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•• C•••••• P••••••• V•• L••Real Estate Fund$412M1Mar 29, 2012
      I•• C•••••• P••••••• F••• V••• L•••Real Estate Fund$144M1Mar 31, 2015
      I•• C•••••• P••••••• F••• V•••• L•••Real Estate Fund$23.6M1Mar 29, 2018
      I•• I••••••••• F••• I••• L•••Real Estate Fund$8.3M0Mar 29, 2012
      I•• I••••••••• F••• I• L•••Real Estate Fund$3.1M0Mar 29, 2012
      I•• I••••••••• F••• I•• L•••Real Estate Fund$2.7M0Mar 29, 2012
      I•• I••••••••• F••• I•• L••no longer reportedReal Estate Fund$1.0M3Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• D••••••• D•• · Director/Trustee Of A•••• R•••••••• L••••• T••••control
        since 05/1992 · owns less than 5%
      • B•••• C••••••••• W•••••• · Co-President/Chief Investment Officercontrol
        since 01/2020 · owns less than 5%
      • B••••• T•••••• R••••• · Director/Trustee Of T•• B•••• F••••• T••••control
        since 05/1992 · owns less than 5%
      • G••••• D•••••• S• · Executive Vice President/Director/Trustee Of D• A•• S• G•••• R•••••••• T••••control
        since 05/1992 · owns less than 5%
      • M•••••••• H••••• R••• · Trustee Of H•••••• 2••• T••••control
        since 10/2001 · owns less than 5%
      • N•••• D••••••• C•••••• · Chief Executive Officer/Chairman/Director/Trustee Of D•••••• A•• D•••• N••• F••••• T••••control
        since 01/2020 · owns less than 5%
      • O••••••••• P•••••••• D• · Co-Trustee Of T•••• A• U•••• J• A•• P• O•••••••• R•••••••• T••••control
        since 07/2016 · owns less than 5%
      • V•••••••• B••••• S•••• · Chief Compliance Officer & Chief Financial Officercontrol
        since 09/2016 · owns less than 5%
      • W•••••••• R•••••• J•••• · Trustee Of J• A•• C• W••••••• R•••••••• T••••control
        since 12/1997 · owns less than 5%
      • W•••••••• R••••••• S••••• · Co-President/Chief Operating Officercontrol
        since 01/2020 · owns less than 5%
      • Z••••• B•••••• L••• · Chief Accounting Officercontrol
        since 03/2014 · owns less than 5%
      Entity owners
      • T•• G•••••• S•••• T•••• C••••••• N••• · Co-Trustee Of T•••• A• U•••• J• A•• P• O•••••••• R•••••••• T••••
        direct · owns less than 5%
      • A•••• R•••••••• L••••• T•••• · Shareholder
        direct · owns 5% to 10%
      • D• A•• S• G•••• R•••••••• T•••• · Shareholder
        direct · owns 10% to 25%
      • D•••••• A•• D•••• N••• F••••• T•••• · Shareholder
        direct · owns 10% to 25%
      • H•••••• 2••• T•••• · Shareholder
        direct · owns 10% to 25%
      • J• A•• C• W••••••• R•••••••• T•••• · Shareholder
        direct · owns 5% to 10%
      • T•• B•••• F••••• T•••• · Shareholder
        direct · owns 10% to 25%
      • T•••• A• U•••• J• A•• P• O•••••••• R•••••••• T•••• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • I•• I••••••••• C•••••• I••• L•••
        pooled vehicle sponsorn
      • I•• I••••••••• C•••••• V•••• L•••
        pooled vehicle sponsorn
      • I•• S• I••••••••• L••
        pooled vehicle sponsorn
      • I••••••••• H•••••• P••••••• I• L•••
        pooled vehicle sponsorn
      • I••••••••• H•••••• P••••••• I•• L•••
        pooled vehicle sponsorn
      • I••••••••• H•••••• P••••••• I•• L•••
        pooled vehicle sponsorn
      • I••••••••• H•••••• P••••••• V• L•••
        pooled vehicle sponsorn
      • N••• O•• L••
        pooled vehicle sponsorn
      • V•••••••• I•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 10
        Mar 29, 2021 to Mar 25, 2022
      • Pooled vehicle clients · 8 to 10
        Mar 29, 2021 to Mar 25, 2022
      • Employees · 33 to 31
        Mar 29, 2021 to Mar 25, 2022
      • Discretionary RAUM · $637M to $593M
        Mar 29, 2021 to Mar 25, 2022
      • Non-discretionary RAUM · $62.3M to $105M
        Mar 29, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $700M to $698M
        Mar 29, 2021 to Mar 25, 2022
      • RAUM · $700M to $698M
        Mar 29, 2021 to Mar 25, 2022
      • Accounts · 6 to 8
        Nov 6, 2020 to Mar 29, 2021
      • Pooled vehicle clients · 6 to 8
        Nov 6, 2020 to Mar 29, 2021
      • Employees · 32 to 33
        Nov 6, 2020 to Mar 29, 2021
      • Discretionary RAUM · $671M to $637M
        Nov 6, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $0 to $62.3M
        Nov 6, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $671M to $700M
        Nov 6, 2020 to Mar 29, 2021
      • RAUM · $671M to $700M
        Nov 6, 2020 to Mar 29, 2021
      • Employees · 35 to 32
        Mar 30, 2020 to Nov 6, 2020
      • Accounts · 8 to 6
        Sep 25, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 8 to 6
        Sep 25, 2019 to Mar 30, 2020
      • Employees · 47 to 35
        Sep 25, 2019 to Mar 30, 2020
      • Discretionary RAUM · $858M to $671M
        Sep 25, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $682M to $0
        Sep 25, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.5B to $671M
        Sep 25, 2019 to Mar 30, 2020
      • RAUM · $1.5B to $671M
        Sep 25, 2019 to Mar 30, 2020
      • Discretionary RAUM · $857M to $858M
        Mar 28, 2019 to Sep 25, 2019
      • Pooled vehicle RAUM · $1.5B to $1.5B
        Mar 28, 2019 to Sep 25, 2019
      • RAUM · $1.5B to $1.5B
        Mar 28, 2019 to Sep 25, 2019
      • Advisory employees · 16 to 14
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.0B to $857M
        Mar 29, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $734M to $682M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.8B to $1.5B
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $1.8B to $1.5B
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 7 to 8
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 18 to 16
        Mar 30, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 8.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 41 to 47
        Mar 30, 2017 to Mar 29, 2018
      Signals
      6 dated events
      • Janeen Shelli Black (General Counsel) no longer on Schedule A of I•• C•••••• P••••••• (listed 2021-03-29, absent 2022-03-25)
        Mar 25, 2022 · Control person left · inference
      • W. J. Pruitt (Senior Vice President) no longer on Schedule A of I•• C•••••• P••••••• (listed 2019-09-25, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • I•• C•••••• P••••••• reported RAUM $670.7M, down 56% from $1.5B (2019-09-25 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Winston Christopher Bley (Executive Vice President) appeared on Schedule A of I•• C•••••• P•••••••
        Mar 28, 2019 · Control person joined · fact
      • Stefan Richard Whiteley (Executive Vice President) appeared on Schedule A of I•• C•••••• P•••••••
        Mar 28, 2019 · Control person joined · fact
      • Lynn Brenda Zalke (Chief Accounting Officer) appeared on Schedule A of I•• C•••••• P•••••••
        Mar 28, 2019 · Control person joined · fact
      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•••••• P••••••• 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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