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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

D••••••• A•••••••• L••

Former SEC-registered adviserLos Altos, CaliforniaCRD 167960SEC 801-78319IAPD
Latest filing Aug 22, 2013
First filing on the tape Jul 1, 2013 · 2 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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Aug 22, 2013
Jul 1, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 22, 2013
Jul 1, 20132 then
Employees (5.A)2 as of Aug 22, 2013
Jul 1, 20132 then
Private funds: no history
Practice profile
derived from the filing of Aug 22, 2013; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••••• S•••••• E•••• · Managing Member/Chief Compliance Officercontrol
    since 05/2013 · owns less than 5%
  • R••••• J•••••••• G••••• · Managing Membercontrol
    since 05/2013 · owns less than 5%
  • F••••••• A•••••••• · Silent Owner
    since 05/2013 · owns 10% to 25%
  • L•••••••• J•• · Silent Owner
    since 05/2013 · owns 10% to 25%
  • C•••••• V•••••• L•• · Owner
    since 05/2013 · owns 75% or more of G••••••••• H•••••••• L••
  • L•••••••• J•• · Owner
    since 05/2013 · owns 75% or more of G••••••••• H•••••••• L••
Entity owners
  • G••••••••• H•••••••• L•• · Silent Owner
    direct · owns 10% to 25%
  • T••••••• F••••• O••••• · Silent Owner
    direct · owns 10% to 25%
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
  • Business name · N• I••••••••• A••••••• to D••••••• A•••••••• L••
    Jul 1, 2013 to Aug 22, 2013
  • Legal name · N• I••••••••• A••••••• to D••••••• A•••••••• L••
    Jul 1, 2013 to Aug 22, 2013
Signals
1 dated events
  • N• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
    Jul 1, 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