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

S••••• C•••••• M••••••••• L•••

Former SEC-registered adviserMenlo Park, CaliforniaCRD 170185SEC 801-79111IAPD
Latest filing Feb 25, 2021
First filing on the tape Jan 15, 2014 · 12 filings
RAUM
$258M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$258M gross assets
History
12 filings and snapshots on the tape
RAUM$258M as of Feb 25, 2021
Mar 26, 2015$534M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 25, 2021
Mar 26, 20150 then
Employees (5.A)8 as of Feb 25, 2021
Mar 26, 20155 then
Private funds5 as of Feb 25, 2021
Mar 26, 20154 then
RAUM -78% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 25, 2021; 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
$51.6MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-78%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
Custody
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Pooled investment vehicles$258M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••• 3•Hedge Fund$44.5M2Mar 26, 2015
      F••• 1•Hedge Fund$5.2M4Jan 15, 2014
      F••• 2•Hedge Fund$4.5M2Mar 26, 2015
      F••• 5•Hedge Fund$3.7M2Mar 28, 2017
      S••••• P•••••••• L•••Hedge Fund$3.4M3Apr 15, 2014
      F••• 4•Hedge Fund$678,9262Mar 28, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• J••••• L• · Limited Partnercontrol
        since 11/2013 · owns 75% or more
      • M•••••• R•••••• T••• · Chief Operating Officer, Chief Financial Officer & Chief Compliance Officercontrol
        since 02/2014 · owns less than 5%
      • C••••••••• J••••• L• · Member And Managercontrol
        since 11/2013 · owns 75% or more of S••••• M••••••••• L••
      Entity owners
      • S••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••• C•••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        May 21, 2020 to Feb 25, 2021
      • Advisory employees · 6 to 5
        May 21, 2020 to Feb 25, 2021
      • Pooled vehicle clients · 6 to 5
        May 21, 2020 to Feb 25, 2021
      • Employees · 9 to 8
        May 21, 2020 to Feb 25, 2021
      • Private funds · 6 to 5
        May 21, 2020 to Feb 25, 2021
      • Discretionary RAUM · $1.2B to $258M
        May 21, 2020 to Feb 25, 2021
      • Pooled vehicle RAUM · $1.2B to $258M
        May 21, 2020 to Feb 25, 2021
      • RAUM · $1.2B to $258M
        May 21, 2020 to Feb 25, 2021
      • Other offices · 1 to 0
        Mar 21, 2019 to Mar 20, 2020
      • Discretionary RAUM · $1.7B to $1.2B
        Mar 21, 2019 to Mar 20, 2020
      • Pooled vehicle RAUM · $1.7B to $1.2B
        Mar 21, 2019 to Mar 20, 2020
      • RAUM · $1.7B to $1.2B
        Mar 21, 2019 to Mar 20, 2020
      • Advisory employees · 5 to 6
        Oct 10, 2018 to Mar 21, 2019
      • Employees · 8 to 9
        Oct 10, 2018 to Mar 21, 2019
      • Discretionary RAUM · $1.7B to $1.7B
        Oct 10, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · $1.7B to $1.7B
        Oct 10, 2018 to Mar 21, 2019
      • RAUM · $1.7B to $1.7B
        Oct 10, 2018 to Mar 21, 2019
      • Pooled vehicle clients · unset to 6.0
        Mar 28, 2017 to Mar 12, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 12, 2018
      • Discretionary RAUM · $1.4B to $1.7B
        Mar 28, 2017 to Mar 12, 2018
      • Pooled vehicle RAUM · unset to 1674629270.0
        Mar 28, 2017 to Mar 12, 2018
      • RAUM · $1.4B to $1.7B
        Mar 28, 2017 to Mar 12, 2018
      • Accounts · 5 to 6
        Mar 28, 2016 to Mar 28, 2017
      • Advisory employees · 3 to 5
        Mar 28, 2016 to Mar 28, 2017
      • Employees · 5 to 8
        Mar 28, 2016 to Mar 28, 2017
      • Private funds · 5 to 6
        Mar 28, 2016 to Mar 28, 2017
      • Discretionary RAUM · $779M to $1.4B
        Mar 28, 2016 to Mar 28, 2017
      • RAUM · $779M to $1.4B
        Mar 28, 2016 to Mar 28, 2017
      • Accounts · 4 to 5
        Mar 26, 2015 to Mar 28, 2016
      • Private funds · 4 to 5
        Mar 26, 2015 to Mar 28, 2016
      • Discretionary RAUM · $534M to $779M
        Mar 26, 2015 to Mar 28, 2016
      • RAUM · $534M to $779M
        Mar 26, 2015 to Mar 28, 2016
      • Accounts · 1 to 4
        Apr 15, 2014 to Mar 26, 2015
      • Advisory employees · 2 to 3
        Apr 15, 2014 to Mar 26, 2015
      • Assets in custody · $159M to $0
        Apr 15, 2014 to Mar 26, 2015
      • Employees · 3 to 5
        Apr 15, 2014 to Mar 26, 2015
      • Private funds · 2 to 4
        Apr 15, 2014 to Mar 26, 2015
      • Discretionary RAUM · $159M to $534M
        Apr 15, 2014 to Mar 26, 2015
      • RAUM · $159M to $534M
        Apr 15, 2014 to Mar 26, 2015
      • Accounts · 0 to 1
        Jan 29, 2014 to Apr 15, 2014
      Signals
      3 dated events
      • S••••• C•••••• M••••••••• L••• reported RAUM $258.0M, down 78% from $1.2B (2020-05-21 to 2021-02-25)
        Feb 25, 2021 · RAUM change · derived
      • S••••• C•••••• M••••••••• L••• reported RAUM $1.2B, down 30% from $1.7B (2019-03-21 to 2020-03-20)
        Mar 20, 2020 · RAUM change · derived
      • S••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Jan 15, 2014 · 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