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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SEC-registered adviser
P••• 8• I••••••••• P•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Jan 15, 2016 · 23 filings
SEC status approved since Jan 29, 2016
RAUM
$568M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.8%
$15.7M 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
0
beyond the principal office
Private funds
7
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$568M as of Mar 25, 2026
Feb 27, 2017$198M then
HNW client RAUM$15.7M as of Mar 25, 2026
Mar 20, 2018$4.5M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Feb 27, 20170 then
Employees (5.A)5 as of Mar 25, 2026
Feb 27, 20175 then
Private funds7 as of Mar 25, 2026
Feb 27, 20172 then
RAUM -15% over the last fiscal year+0.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; 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
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $47.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 47%derivedpensions, 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
- -15%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $58.5M, 7 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$268M47%
- Investment companies$210M37%
- Pooled investment vehicles$74.1M13%
- High-net-worth individuals$15.7M2.8%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.5M for 7 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.03 fund_share=0.5 institutional_share=0.47 related_bd=false related_bank=false bd_reps=0.0derived
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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• G••••• M••••• F••• L• | Hedge Fund | $69.4M | 35 | Jan 15, 2016 |
| L••• G••••• F••• L• | Hedge Fund | $24.5M | 27 | Mar 25, 2024 |
| P••• 8• V••••••• E••••••••• S••••••• F••• L• | Venture Capital Fund | $23.4M | 68 | Mar 30, 2023 |
| A••••• • P••• 8• I••••••••• F••• L• | Venture Capital Fund | $10.4M | 29 | Mar 25, 2024 |
| L••• C••• C••••••••• B••• F••• L•no longer reported | Other Private Fund | $7.2M | 4 | Feb 27, 2017 |
| L••• C••• C••••••••• B••• F••• I• L•no longer reported | Other Private Fund | $4.3M | 3 | Mar 25, 2020 |
| L••• G••••• L•••••••• L• | Other Private Fund | $2.5M | 5 | Mar 20, 2018 |
| P••• 8• G••••• E••••• F••• I• L• | Venture Capital Fund | $2.2M | 37 | Mar 31, 2022 |
| P••• 8• G••••• E••••• F••• I•• L•• | Venture Capital Fund | $1.8M | 32 | Mar 31, 2022 |
| P••• 8• G••••• E••••• F••• I• L• | Venture Capital Fund | $511,100 | 38 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• S•••• J••• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
- M••••••••• M•••••••• P•••••• · Presidentcontrolsince 03/2020 · owns less than 5%
- T•••••• F••••••• T••••• · Chief Executive Officer And Chief Investment Officercontrolsince 08/2013 · owns 25% to 50%
- E••••••• G•••••• D•••••• · Membercontrolsince 09/2013 · owns 50% to 75% of M••••••• V•••••• P••••••• O• T••••••••• L••
- S••••••• W••••••• R••• · Membercontrolsince 09/2013 · owns 50% to 75% of M••••••• V•••••• P••••••• O• T••••••••• L••
- W•••••• D••••• B•••••• · Managing Membercontrolsince 09/2013 · owns 25% to 50% of R•••••••• P•••••••• L••
- W••••• R••••••••• · Membercontrolsince 01/2015 · owns 75% or more of S••••••••• V•••••••• L••
- W•••••• D••••• B•••••• · Membersince 09/2013 · owns less than 5%
- V••••••••• M••••• A••••• · Officersince 11/2019 · owns F of T•• D•••••• C••••••• A• I••••••••• E•••••••
Entity owners
- M••••••• V•••••• P••••••• O• T••••••••• L•• · Memberdirect · owns 10% to 25%
- R•••••••• P•••••••• L•• · Memberdirect · owns 5% to 10%
- S••••••••• V•••••••• L•• · Memberdirect · owns 5% to 10%
- T•• D•••••• C••••••• A• I••••••••• E••••••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- T•• D•••••• C••••••• A• I••••••••• E•••••••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 13 to 12Dec 12, 2025 to Mar 25, 2026
- Pooled vehicle clients · 8 to 7Dec 12, 2025 to Mar 25, 2026
- Assets in custody · $32.3M to $58.5MDec 12, 2025 to Mar 25, 2026
- Private funds · 8 to 7Dec 12, 2025 to Mar 25, 2026
- Discretionary RAUM · $665M to $568MDec 12, 2025 to Mar 25, 2026
- HNW RAUM · $24.9M to $15.7MDec 12, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $61.3M to $74.1MDec 12, 2025 to Mar 25, 2026
- RAUM · $665M to $568MDec 12, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to May 7, 2025
- Accounts · 12 to 13Mar 25, 2024 to Mar 26, 2025
- Assets in custody · $31.6M to $32.3MMar 25, 2024 to Mar 26, 2025
- Private funds · 7 to 8Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $581M to $665MMar 25, 2024 to Mar 26, 2025
- HNW RAUM · $23.5M to $24.9MMar 25, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $105M to $61.3MMar 25, 2024 to Mar 26, 2025
- RAUM · $581M to $665MMar 25, 2024 to Mar 26, 2025
- Accounts · 13 to 12May 22, 2023 to Mar 25, 2024
- Advisory employees · 3 to 5May 22, 2023 to Mar 25, 2024
- Pooled vehicle clients · 9 to 8May 22, 2023 to Mar 25, 2024
- Assets in custody · $62.8M to $31.6MMay 22, 2023 to Mar 25, 2024
- Employees · 4 to 5May 22, 2023 to Mar 25, 2024
- Financial planning clients · unset to 0May 22, 2023 to Mar 25, 2024
- Private funds · 6 to 7May 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $568M to $581MMay 22, 2023 to Mar 25, 2024
- HNW RAUM · $17.1M to $23.5MMay 22, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $141M to $105MMay 22, 2023 to Mar 25, 2024
- RAUM · $568M to $581MMay 22, 2023 to Mar 25, 2024
- Advisory employees · 2 to 3Jun 17, 2022 to Mar 30, 2023
- Assets in custody · $77.5M to $62.8MJun 17, 2022 to Mar 30, 2023
- Employees · 3 to 4Jun 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $606M to $568MJun 17, 2022 to Mar 30, 2023
- HNW RAUM · $27.4M to $17.1MJun 17, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $144M to $141MJun 17, 2022 to Mar 30, 2023
- RAUM · $606M to $568MJun 17, 2022 to Mar 30, 2023
- Accounts · 10 to 13Nov 2, 2021 to Mar 31, 2022
- Advisory employees · 3 to 2Nov 2, 2021 to Mar 31, 2022
- Pooled vehicle clients · 6 to 9Nov 2, 2021 to Mar 31, 2022
- Assets in custody · $71.7M to $77.5MNov 2, 2021 to Mar 31, 2022
- Employees · 4 to 3Nov 2, 2021 to Mar 31, 2022
- Private funds · 3 to 6Nov 2, 2021 to Mar 31, 2022
Signals
4 dated events
- P••• 8• I••••••••• P•••••••• L•• reported RAUM $513.7M, up 47% from $349.6M (2020-06-23 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Jude Sean Aurigemma (Chief Compliance Officer) appeared on Schedule A of P••• 8• I••••••••• P•••••••• L••Mar 25, 2020 · Control person joined · fact
- Patrick Mitchell Mccullough (President) appeared on Schedule A of P••• 8• I••••••••• P•••••••• L••Mar 25, 2020 · Control person joined · fact
- P••• 8• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jan 15, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••• 8• I••••••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-814-8840reportedpublic record, Form ADV, Mar 25, 2026
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
- Other 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