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

P••••••••• P•••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 164258SEC 801-77065IAPD
Latest filing Jun 9, 2014
First filing on the tape Aug 16, 2012 · 6 filings
RAUM
$216M
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
12
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
12
$216M gross assets
History
6 filings and snapshots on the tape
RAUM$216M as of Mar 28, 2014
Mar 22, 2013$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 22, 20130 then
Employees (5.A)12 as of Mar 28, 2014
Mar 22, 201311 then
Private funds12 as of Mar 28, 2014
Mar 22, 201313 then
RAUM +39% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 9, 2014; 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
$18.0MderivedRAUM 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
+39%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, otherreportedItem 5.G
Custody
$216M, 12 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 custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$216M for 12 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
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••••• P••••••• O••••••••• F••• I••• L•••Real Estate Fund$83.9M223Aug 16, 2012
      P••••••••• P••••••• O••••••••• F••• I•• L••Real Estate Fund$53.4M289Mar 22, 2013
      P••••••••• R••••••• R••••••••• I•• L•••Real Estate Fund$31.2M45Aug 16, 2012
      P••••••••• P••••••• O••••••••• F••• I•••• L•••Real Estate Fund$19.0M58Aug 16, 2012
      P••••••••• P••••••• O••••••••• F••• I•• L•••Real Estate Fund$17.7M99Aug 16, 2012
      P••••••••• T••••• I••••••••• L••Real Estate Fund$5.4M29Oct 23, 2013
      P••••••••• I••• I••••••••• L••Real Estate Fund$2.3M31Aug 16, 2012
      P••••••••• R•••••• V••• I••••••••Real Estate Fund$2.0M22Aug 16, 2012
      P••••••••• H•••••••• I••••••••• L••Real Estate Fund$1.3M18Aug 16, 2012
      P••••••••• S•••••••• I••••••••• L••no longer reportedReal Estate Fund$985,00013Aug 16, 2012
      P••••••••• C•••••••• I••••••••• L••Real Estate Fund$811,08618Aug 16, 2012
      P••••••••• C••••• O••••••••• F•••• L•••Real Estate Fund$807,2211Aug 16, 2012
      P••••••••• C••••••• I•••••••• I• L••no longer reportedReal Estate Fund$250,00018Aug 16, 2012
      P••••••••• P••••••• O••••••••• F••• I• L••Real Estate Fund$170,00035Aug 16, 2012
      P•••••• P••••••••• C••••••• O••••••••• F•••• I• L•••no longer reportedReal Estate Fund$100,00011Aug 16, 2012
      P••••••••• M•• S••••• I••••••••• L••no longer reportedReal Estate Fund$50,0006Aug 16, 2012
      P••••••••• D••••• C••••••••• I••••••••• L••Real Estate Fund$29,9098Aug 16, 2012
      P••••••••• H•••••••• I••••••••• L••no longer reportedReal Estate Fund$15,00036Aug 16, 2012
      P••••••••• C••••••••• I••••••••• L••Real Estate Fund$1,00013Aug 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••••• S••• · Principal And Managing Directorcontrol
        since 10/2008 · owns 10% to 25%
      • P•••••• L•••• · Member And Senior Managing Directorcontrol
        since 12/2006 · owns 25% to 50%
      • R•••••• B••••• R••••• · Managing Director, Chief Compliance Officer, Chief Operating Officer And Chief Financial Officercontrol
        since 10/2008 · owns 10% to 25%
      • S••••••• M•••••••• L•• · Member And Senior Managing Directorcontrol
        since 12/2006 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • P••••••••• P••••••• R••••• V••••••• I••• L••
        pooled vehicle sponsory
      • P••••••••• P••••••• R••••• V••••••• I•• L••
        pooled vehicle sponsory
      • P••••••••• P••••••• R••••• V•••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 12
        Oct 23, 2013 to Mar 28, 2014
      • Assets in custody · $155M to $216M
        Oct 23, 2013 to Mar 28, 2014
      • Employees · 11 to 12
        Oct 23, 2013 to Mar 28, 2014
      • Private funds · 14 to 12
        Oct 23, 2013 to Mar 28, 2014
      • Discretionary RAUM · $155M to $216M
        Oct 23, 2013 to Mar 28, 2014
      • RAUM · $155M to $216M
        Oct 23, 2013 to Mar 28, 2014
      • Private funds · 13 to 14
        Mar 22, 2013 to Oct 23, 2013
      • Accounts · 17 to 14
        Oct 22, 2012 to Mar 22, 2013
      • Advisory employees · unset to 4.0
        Oct 22, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Oct 22, 2012 to Mar 22, 2013
      • Assets in custody · $124M to $155M
        Oct 22, 2012 to Mar 22, 2013
      • Employees · unset to 11.0
        Oct 22, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Oct 22, 2012 to Mar 22, 2013
      • Private funds · 17 to 13
        Oct 22, 2012 to Mar 22, 2013
      • Discretionary RAUM · $124M to $155M
        Oct 22, 2012 to Mar 22, 2013
      • RAUM · $124M to $155M
        Oct 22, 2012 to Mar 22, 2013
      Signals
      1 dated events
      • P••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 16, 2012 · First SEC registration · 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

      P••••••••• P•••••••• 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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