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
B••••• A•••• M••••••••• I•••
Latest filing Mar 31, 2025
First filing on the tape Mar 18, 2013 · 31 filings
SEC status approved since Apr 3, 2013
RAUM
$798M
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
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$798M as of Mar 31, 2025
Mar 4, 2014$109M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 4, 20140 then
Employees (5.A)5 as of Mar 31, 2025
Mar 4, 20145 then
Private funds: no history
RAUM +333% over the last fiscal year-13% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 31, 2025; 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
- $28.5MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +333%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$798M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 28reported
- Financial planning clients
- reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• M••••••• T•••• · President, Managing Director, Member, Board Of Directorscontrolsince 03/2013 · owns less than 5%
- S•••••••• J•••• V• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- H••••••• H•••• · Member, Board Of Directorssince 12/2023 · owns less than 5%
- I••••••• M•••• D•••• · Member, Board Of Directorssince 03/2024 · owns less than 5%
Entity owners
- B••• O• C••••••••• · Ownerdirect · owns 75% or more
- B••• O• C••••••••• I••• · Ownerindirect · owns 75% or more of B••• O• C••••••••• · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA1 employees
- Woodland Hills, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 16 to 28May 6, 2024 to Mar 31, 2025
- Advisory employees · 4 to 5May 6, 2024 to Mar 31, 2025
- Corporate clients · 15 to 25May 6, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 6, 2024 to Mar 31, 2025
- Discretionary RAUM · $184M to $798MMay 6, 2024 to Mar 31, 2025
- RAUM · $184M to $798MMay 6, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Mar 14, 2024 to May 6, 2024
- Employees · 4 to 5Mar 14, 2024 to May 6, 2024
- Other offices · 1 to 2Mar 14, 2024 to May 6, 2024
- Accounts · 30 to 16Jan 4, 2024 to Mar 14, 2024
- Advisory employees · 4 to 3Jan 4, 2024 to Mar 14, 2024
- Corporate clients · 27 to 15Jan 4, 2024 to Mar 14, 2024
- Employees · 5 to 4Jan 4, 2024 to Mar 14, 2024
- Discretionary RAUM · $897M to $184MJan 4, 2024 to Mar 14, 2024
- Non-discretionary RAUM · $11,908 to $0Jan 4, 2024 to Mar 14, 2024
- RAUM · $897M to $184MJan 4, 2024 to Mar 14, 2024
- Business name · P•••••• W•••••• A•••• M••••••••• to B••••• A•••• M••••••••• I•••Jan 4, 2024 to Jan 4, 2024
- Legal name · P•••••• W•••••• A•••• M••••••••• I••• to B••••• A•••• M••••••••• I•••Jan 4, 2024 to Jan 4, 2024
- HQ city · SAN FRANCISCO to MENLO PARKApr 20, 2023 to Jun 7, 2023
- Accounts · 24 to 30Jul 5, 2022 to Mar 27, 2023
- Corporate clients · 23 to 27Jul 5, 2022 to Mar 27, 2023
- Other offices · 2 to 1Jul 5, 2022 to Mar 27, 2023
- Discretionary RAUM · $879M to $897MJul 5, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $321M to $11,908Jul 5, 2022 to Mar 27, 2023
- RAUM · $1.2B to $897MJul 5, 2022 to Mar 27, 2023
- Accounts · 30 to 24Dec 17, 2021 to Mar 8, 2022
- Corporate clients · 29 to 23Dec 17, 2021 to Mar 8, 2022
- Discretionary RAUM · $973M to $879MDec 17, 2021 to Mar 8, 2022
- Non-discretionary RAUM · $170M to $321MDec 17, 2021 to Mar 8, 2022
- RAUM · $1.1B to $1.2BDec 17, 2021 to Mar 8, 2022
- Advisory employees · 5 to 4Mar 29, 2021 to Dec 17, 2021
- Employees · 6 to 5Mar 29, 2021 to Dec 17, 2021
- Other offices · 1 to 2Mar 29, 2021 to Dec 17, 2021
- Accounts · 39 to 30Jul 14, 2020 to Jan 28, 2021
- Corporate clients · 38 to 29Jul 14, 2020 to Jan 28, 2021
- Discretionary RAUM · $1.2B to $973MJul 14, 2020 to Jan 28, 2021
- Non-discretionary RAUM · $172,822 to $170MJul 14, 2020 to Jan 28, 2021
- RAUM · $1.2B to $1.1BJul 14, 2020 to Jan 28, 2021
- Business name · P•••••• W•••••• A•••• M••••••••• I••• to P•••••• W•••••• A•••• M•••••••••Jan 24, 2020 to Jul 14, 2020
- Accounts · 61 to 39May 16, 2019 to Jan 24, 2020
Signals
18 dated events
- B••••• A•••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $797.6M)Sep 2, 2025 · Left the SEC roster · derived
- B••••• A•••• M••••••••• I••• reported RAUM $797.6M, up 333% from $184.0M (2024-05-06 to 2025-03-31)Mar 31, 2025 · ria raum c••••e · derived
- V. Jose Sarmenta (Chief Compliance Officer) appeared on Schedule A of B••••• A•••• M••••••••• I•••May 6, 2024 · Control person joined · fact
- James Cole Lohman (Chief Compliance Officer) no longer on Schedule A of B••••• A•••• M••••••••• I••• (listed 2024-03-14, absent 2024-05-06)May 6, 2024 · Control person left · inference
- B••••• A•••• M••••••••• I••• reported RAUM $184.0M, down 79% from $896.7M (2024-01-04 to 2024-03-14)Mar 14, 2024 · ria raum c••••e · derived
- James Cole Lohman (Chief Compliance Officer) appeared on Schedule A of B••••• A•••• M••••••••• I•••Jan 4, 2024 · Control person joined · fact
- Nicole Lisa Lawson (Chief Compliance Officer) no longer on Schedule A of B••••• A•••• M••••••••• I••• (listed 2023-06-07, absent 2024-01-04)Jan 4, 2024 · Control person left · inference
- B••••• A•••• M••••••••• I••• reported RAUM $896.7M, down 25% from $1.2B (2022-07-05 to 2023-03-27)Mar 27, 2023 · ria raum c••••e · derived
- Charles Donald Savino (Chief Compliance Officer) no longer on Schedule A of B••••• A•••• M••••••••• I••• (listed 2022-07-05, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Nicole Lisa Lawson (Chief Compliance Officer) appeared on Schedule A of B••••• A•••• M••••••••• I•••Mar 27, 2023 · Control person joined · fact
- Elliott Chang (Chief Compliance Officer) no longer on Schedule A of B••••• A•••• M••••••••• I••• (listed 2021-03-29, absent 2021-12-17)Dec 17, 2021 · Control person left · inference
- Charles Donald Savino (Chief Compliance Officer) appeared on Schedule A of B••••• A•••• M••••••••• I•••Dec 17, 2021 · Control person joined · fact
- Terrence Mark Yung (Member, Board Of Directors) appeared on Schedule A of B••••• A•••• M••••••••• I•••Jul 14, 2020 · Control person joined · fact
- James Cole Lohman (Chief Compliance Officer) no longer on Schedule A of B••••• A•••• M••••••••• I••• (listed 2019-05-16, absent 2020-01-24)Jan 24, 2020 · Control person left · inference
- Elliott Chang (Chief Compliance Officer) appeared on Schedule A of B••••• A•••• M••••••••• I•••Jan 24, 2020 · Control person joined · fact
- Sook Kuan Loh (Vice President) no longer on Schedule A of B••••• A•••• M••••••••• I••• (listed 2018-05-01, absent 2019-02-22)Feb 22, 2019 · Control person left · inference
- B••••• A•••• M••••••••• I••• reported RAUM $1.7B, up 51% from $1.1B (2017-10-30 to 2018-02-20)Feb 20, 2018 · ria raum c••••e · derived
- S••••• 1• A•••• M••••••••• filed its initial SEC registration (Form ADV)Mar 18, 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