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

Sofi Capital Advisors LLC

Former SEC-registered adviserSan Francisco, CaliforniaCRD 165784SEC 801-111634IAPD
Latest filing Jan 12, 2024
First filing on the tape Nov 2, 2012 · 23 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$0 as of Jan 12, 2024
Feb 19, 2013$16.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 12, 2024
Feb 19, 20130 then
Employees (5.A)3 as of Jan 12, 2024
Feb 19, 20135 then
Private funds1 as of Jan 12, 2024
Feb 19, 201314 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 12, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-100%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 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)
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
0reported
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
      22 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Sofi Fund For Ecmcno longer reportedOther Private Fund$50.0M2May 22, 2013
      Sofi Credit Opportunities Fund LLCno longer reportedOther Private Fund$13.3M9Mar 1, 2016
      Sofi Community Fund LLCno longer reportedOther Private Fund$4.0M15Feb 20, 2014
      Sofi Fund For The University Of Pennsylvania Communityno longer reportedOther Private Fund$500,0002May 22, 2013
      Sofi Fund For The University Of Michigan Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The Northwestern University Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The Massachusetts Insitute Of Technology Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The Yale University Communityno longer reportedOther Private Fund$500,0002Apr 8, 2013
      Sofi Fund For The Stanford University Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The New York University Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The Rice University Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The Duke University Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The Dartmouth College Communityno longer reportedOther Private Fund$500,0002Apr 8, 2013
      Sofi Fund For The Columbia University Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The University Of California, Berkeley Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The University Of Texas, Austin Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The University Of North Carolina Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The University Of California, Los Angeles Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The Veteran Communityno longer reportedOther Private Fund$500,0002May 22, 2013
      Sofi Fund For The Harvard University Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Fund For The University Of Chicago Communityno longer reportedOther Private Fund$500,0002Feb 19, 2013
      Sofi Prime Income Fund, LPSecuritized Asset Fund$00Mar 29, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Candice Gilman · Chief Compliance Officercontrol
        since 03/2022 · owns less than 5%
      • Tobin Mcdaniel · Presidentcontrol
        since 09/2021 · owns less than 5%
      Entity owners
      • Social Finance Inc. · 100% Owner
        direct · owns 75% or more
      • Sofi Technologies, Inc. · Shareholder Of Parent
        indirect · owns 75% or more of Social Finance Inc. · public reporting company
      Related persons
      Schedule D 7.A
      • Social Finance Life Insurance Agency LLC
        real estaten
      • Sofi Bank, N.A.
        n
      • Sofi Capital Advisors (Cayman) LLC
        pooled vehicle sponsorn
      • Sofi Securities (Hong Kong) Limited
        broker-dealern
      • Sofi Securities LLC
        broker-dealern
      • Sofi Wealth LLC
        investment advisernRAUM $2.0B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 0
        Mar 20, 2023 to Jan 12, 2024
      • BD registered reps · 2 to 3
        Mar 20, 2023 to Jan 12, 2024
      • Discretionary RAUM · $7.4M to $0
        Mar 20, 2023 to Jan 12, 2024
      • Pooled vehicle RAUM · $7.4M to $0
        Mar 20, 2023 to Jan 12, 2024
      • RAUM · $7.4M to $0
        Mar 20, 2023 to Jan 12, 2024
      • Financial planning clients · 1-10 to unset
        Mar 30, 2022 to Mar 20, 2023
      • Discretionary RAUM · $10.3M to $7.4M
        Mar 30, 2022 to Mar 20, 2023
      • Pooled vehicle RAUM · $10.3M to $7.4M
        Mar 30, 2022 to Mar 20, 2023
      • RAUM · $10.3M to $7.4M
        Mar 30, 2022 to Mar 20, 2023
      • Discretionary RAUM · $19.0M to $10.3M
        Jan 3, 2022 to Mar 30, 2022
      • Pooled vehicle RAUM · $19.0M to $10.3M
        Jan 3, 2022 to Mar 30, 2022
      • RAUM · $19.0M to $10.3M
        Jan 3, 2022 to Mar 30, 2022
      • Discretionary RAUM · $58.4M to $19.0M
        Mar 25, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $58.4M to $19.0M
        Mar 25, 2020 to Mar 31, 2021
      • RAUM · $58.4M to $19.0M
        Mar 25, 2020 to Mar 31, 2021
      • Discretionary RAUM · $109M to $58.4M
        Jun 25, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $109M to $58.4M
        Jun 25, 2019 to Mar 25, 2020
      • RAUM · $109M to $58.4M
        Jun 25, 2019 to Mar 25, 2020
      • Related bank · true to false
        Jan 17, 2018 to Jan 28, 2019
      • BD registered reps · 4 to 2
        Aug 14, 2017 to Jan 17, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 14, 2017 to Jan 17, 2018
      • Employees · 8 to 3
        Aug 14, 2017 to Jan 17, 2018
      • Other offices · unset to 0.0
        Aug 14, 2017 to Jan 17, 2018
      • Discretionary RAUM · $108M to $109M
        Aug 14, 2017 to Jan 17, 2018
      • Pooled vehicle RAUM · unset to 109000000.0
        Aug 14, 2017 to Jan 17, 2018
      • RAUM · $108M to $109M
        Aug 14, 2017 to Jan 17, 2018
      • Private funds · 2 to 1
        Aug 7, 2017 to Aug 9, 2017
      • Accounts · 14 to 1
        Mar 19, 2013 to Aug 7, 2017
      • Advisory employees · 2 to 0
        Mar 19, 2013 to Aug 7, 2017
      • BD registered reps · 1 to 4
        Mar 19, 2013 to Aug 7, 2017
      • Employees · 5 to 8
        Mar 19, 2013 to Aug 7, 2017
      • Financial planning clients · 11-25 to 1-10
        Mar 19, 2013 to Aug 7, 2017
      • Private funds · 14 to 2
        Mar 19, 2013 to Aug 7, 2017
      • Discretionary RAUM · $0 to $108M
        Mar 19, 2013 to Aug 7, 2017
      • Non-discretionary RAUM · $16.0M to $0
        Mar 19, 2013 to Aug 7, 2017
      • RAUM · $16.0M to $108M
        Mar 19, 2013 to Aug 7, 2017
      • Related adviser · false to true
        Mar 19, 2013 to Aug 7, 2017
      • Related bank · false to true
        Mar 19, 2013 to Aug 7, 2017
      • Accounts · 15 to 14
        Dec 14, 2012 to Feb 19, 2013
      • Financial planning clients · 0 to 11-25
        Dec 14, 2012 to Feb 19, 2013
      Signals
      9 dated events
      • Lee Candice Gilman (Chief Compliance Officer) appeared on Schedule A of Sofi Capital Advisors Llc
        Mar 30, 2022 · Control person joined · fact
      • Richard Alan Carlisle (Chief Compliance Officer) no longer on Schedule A of Sofi Capital Advisors Llc (listed 2022-01-03, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • Richard Alan Carlisle (Chief Compliance Officer) appeared on Schedule A of Sofi Capital Advisors Llc
        Jan 3, 2022 · Control person joined · fact
      • Davis John Gardner (President) no longer on Schedule A of Sofi Capital Advisors Llc (listed 2021-06-24, absent 2021-10-20)
        Oct 20, 2021 · Control person left · inference
      • Tobin Mcdaniel (President) appeared on Schedule A of Sofi Capital Advisors Llc
        Oct 20, 2021 · Control person joined · fact
      • Chandler Scott Williams (Chief Compliance Officer) no longer on Schedule A of Sofi Capital Advisors Llc (listed 2019-05-17, absent 2019-06-25)
        Jun 25, 2019 · Control person left · inference
      • Davis John Gardner (President) appeared on Schedule A of Sofi Capital Advisors Llc
        Apr 12, 2019 · Control person joined · fact
      • Richard Alan Carlisle (President) no longer on Schedule A of Sofi Capital Advisors Llc (listed 2019-01-28, absent 2019-04-12)
        Apr 12, 2019 · Control person left · inference
      • Sofi Capital Advisors Llc filed its initial SEC registration (Form ADV)
        Nov 2, 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