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

U••••• F••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 164816SEC 801-78119IAPD
Latest filing Mar 3, 2014
First filing on the tape May 21, 2013 · 6 filings
RAUM
$663,328
reported, Item 5.F
Discretionary
0.0%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$663,328 as of Mar 3, 2014
Feb 11, 2014$663,328 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 3, 2014
May 21, 20132 then
Employees (5.A)2 as of Mar 3, 2014
May 21, 20132 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 3, 2014; every figure names its basis
RAUM per advisor
$663,328derivedRAUM 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
$33,166derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••• J•••• · Cmocontrol
        since 05/2012 · owns less than 5%
      • K•••••••• T••••• A••••••• · Ceocontrol
        since 05/2012 · owns less than 5%
      • H••• J•••• · Membercontrol
        since 05/2012 · owns 50% to 75% of T•• H•••••• F•••••••• S••••••• C••••••• L••
      • K•••••••• T••••• A••••••• · Membercontrol
        since 05/2012 · owns 50% to 75% of T•• H•••••• F•••••••• S••••••• C••••••• L••
      • S•••• J••••••• A••••• · Cfo/Cco
        since 05/2012 · owns less than 5%
      Entity owners
      • T•• H•••••• F•••••••• S••••••• C••••••• L•• · Member
        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
      • Accounts · unset to 20.0
        Aug 29, 2013 to Feb 11, 2014
      • Discretionary RAUM · unset to 0.0
        Aug 29, 2013 to Feb 11, 2014
      • Non-discretionary RAUM · unset to 663328.0
        Aug 29, 2013 to Feb 11, 2014
      • RAUM · unset to 663328.0
        Aug 29, 2013 to Feb 11, 2014
      • BD registered reps · 2 to 1
        May 21, 2013 to Jul 22, 2013
      • Business name · I••••••••• L•• to U••••• F••••••••• L••
        May 21, 2013 to Jul 22, 2013
      • State-registered IARs · 2 to 1
        May 21, 2013 to Jul 22, 2013
      • Legal name · I••••••••• L•• to U••••• F••••••••• L••
        May 21, 2013 to Jul 22, 2013
      Signals
      1 dated events
      • I••••••••• L•• filed its initial SEC registration (Form ADV)
        May 21, 2013 · 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