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

O•••••• A•••• M••••••••• I•••

Former SEC-registered adviserSan Jose, CaliforniaCRD 165661SEC 801-77673IAPD
Latest filing May 6, 2021
First filing on the tape Feb 19, 2013 · 28 filings
RAUM
$981M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.3%
$22.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$981M as of Mar 31, 2021
Mar 31, 2014$391M then
HNW client RAUM$16.3M as of Mar 31, 2021
Mar 29, 2018$7.9M then
State-registered IARs (5.B.3)2 as of Mar 31, 2021
Mar 31, 20140 then
Employees (5.A)5 as of Mar 31, 2021
Mar 31, 20144 then
Private funds1 as of Mar 31, 2015
Mar 31, 20141 then
RAUM -63% over the last fiscal year+9.5% a year over threeIARs 2 to 1
Practice profile
derived from the filing of May 6, 2021; every figure names its basis
RAUM per advisor
$981MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$10.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-63%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.5%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$952M97%
  • High-net-worth individuals$16.3M1.7%
  • Charitable organizations$7.0M0.7%
  • Individuals$6.0M0.6%
Individual clients
53reported
HNW clients
6reported
Pension plan clients
1reported
Charitable clients
3reported
Accounts
96reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• Q•••• F••• I• L•no longer reportedHedge Fund$5.2M1Feb 19, 2013
      P•••• Q•••• F••• I• L•no longer reportedPrivate Equity Fund$00Jul 26, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • V••••••••• V•••• · Chief Executive Officer & Chief Compliance Officercontrol
        since 07/2015 · 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
      • Advisory employees · 2 to 1
        Apr 29, 2021 to May 6, 2021
      • Employees · 5 to 4
        Apr 29, 2021 to May 6, 2021
      • State-registered IARs · 2 to 1
        Apr 29, 2021 to May 6, 2021
      • Accounts · 106 to 96
        Mar 4, 2021 to Mar 31, 2021
      • HNW clients · 3 to 6
        Mar 4, 2021 to Mar 31, 2021
      • Individual clients · 54 to 53
        Mar 4, 2021 to Mar 31, 2021
      • Discretionary RAUM · $890M to $981M
        Mar 4, 2021 to Mar 31, 2021
      • HNW RAUM · $14.6M to $16.3M
        Mar 4, 2021 to Mar 31, 2021
      • Individual RAUM · $7.3M to $6.0M
        Mar 4, 2021 to Mar 31, 2021
      • Non-discretionary RAUM · $1.7B to $0
        Mar 4, 2021 to Mar 31, 2021
      • Pension RAUM · $861M to $952M
        Mar 4, 2021 to Mar 31, 2021
      • RAUM · $2.6B to $981M
        Mar 4, 2021 to Mar 31, 2021
      • Advisory employees · 1 to 2
        Jan 27, 2021 to Mar 4, 2021
      • Employees · 4 to 5
        Jan 27, 2021 to Mar 4, 2021
      • State-registered IARs · 1 to 2
        Jan 27, 2021 to Mar 4, 2021
      • Advisory employees · 2 to 1
        Jun 3, 2020 to Aug 6, 2020
      • Employees · 5 to 4
        Jun 3, 2020 to Aug 6, 2020
      • State-registered IARs · 2 to 1
        Jun 3, 2020 to Aug 6, 2020
      • HQ city · SANTA CLARA to SAN JOSE
        Mar 28, 2020 to Jun 3, 2020
      • Accounts · 51 to 106
        Mar 10, 2020 to Mar 28, 2020
      • Advisory employees · 3 to 2
        Mar 10, 2020 to Mar 28, 2020
      • Charity clients · 0 to 3
        Mar 10, 2020 to Mar 28, 2020
      • HNW clients · 25 to 3
        Mar 10, 2020 to Mar 28, 2020
      • Individual clients · 19 to 54
        Mar 10, 2020 to Mar 28, 2020
      • Employees · 7 to 5
        Mar 10, 2020 to Mar 28, 2020
      • HQ city · LOS ALTOS to SANTA CLARA
        Mar 10, 2020 to Mar 28, 2020
      • State-registered IARs · 3 to 2
        Mar 10, 2020 to Mar 28, 2020
      • Discretionary RAUM · $697M to $890M
        Mar 10, 2020 to Mar 28, 2020
      • HNW RAUM · $4.7M to $14.6M
        Mar 10, 2020 to Mar 28, 2020
      • Individual RAUM · $6.6M to $7.3M
        Mar 10, 2020 to Mar 28, 2020
      • Non-discretionary RAUM · $0 to $1.7B
        Mar 10, 2020 to Mar 28, 2020
      • Pension RAUM · $685M to $861M
        Mar 10, 2020 to Mar 28, 2020
      • RAUM · $697M to $2.6B
        Mar 10, 2020 to Mar 28, 2020
      • Accounts · 6 to 51
        Mar 29, 2018 to Mar 29, 2019
      • Charity clients · unset to 0.0
        Mar 29, 2018 to Mar 29, 2019
      • Corporate clients · unset to 0.0
        Mar 29, 2018 to Mar 29, 2019
      • HNW clients · unset to 25.0
        Mar 29, 2018 to Mar 29, 2019
      • Individual clients · unset to 19.0
        Mar 29, 2018 to Mar 29, 2019
      • Pension plan clients · unset to 1.0
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2018 to Mar 29, 2019
      Signals
      9 dated events
      • Monty Himanshu Joshi (Investor) no longer on Schedule A of O•••••• A•••• M••••••••• I••• (listed 2021-03-04, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • O•••••• A•••• M••••••••• I••• reported RAUM $981.3M, down 63% from $2.6B (2021-03-04 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Raj R••••••• (Owner) no longer on Schedule A of O•••••• A•••• M••••••••• I••• (listed 2021-03-04, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • A••••• A••••• (Chief Compliance Officer) no longer on Schedule A of O•••••• A•••• M••••••••• I••• (listed 2021-01-27, absent 2021-03-04)
        Mar 4, 2021 · Control person left · inference
      • O•••••• A•••• M••••••••• I••• reported RAUM $2.6B, up 277% from $696.6M (2020-03-10 to 2020-03-28)
        Mar 28, 2020 · RAUM change · derived
      • A••••• A••••• (Chief Compliance Officer) appeared on Schedule A of O•••••• A•••• M••••••••• I•••
        Mar 10, 2020 · Control person joined · fact
      • O•••••• A•••• M••••••••• I••• reported RAUM $747.5M, up 33% from $561.8M (2018-01-03 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • O•••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Aug 21, 2015 · Succession (Item 4) · fact
      • O•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 19, 2013 · 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