DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

C••••••• P••• M••••••••• L•••

Independent wealth managerCRD 172326SEC 801-80242website IAPD

Latest filing Sep 18, 2026

First filing on the tape Aug 15, 2014 · 21 filings

SEC status approved since Sep 19, 2014

RAUM

$53.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$53.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$53.8M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$234M as of May 28, 2026

Jan 16, 2015$467M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 28, 2026

Jan 16, 20150 then

Employees (5.A)2 as of May 28, 2026

Jan 16, 20158 then

Private funds4 as of May 28, 2026

Jan 16, 20152 then

RAUM -85% over the last fiscal year-52% a year over threeIARs 0 to 1

Practice profile

derived from the filing of Sep 18, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $53.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.8MderivedHNW RAUM over HNW clients
Average account: $3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -33%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 individualsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$53.8M100%

Individual clients: n/areported
HNW clients: 14reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 14reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
E•• D• C••••	Los Altos Hills, Ca	Jul 24, 2026	12 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••• P••• M••••• F•••• L•••	Hedge Fund	$331M	29	Aug 15, 2014
C••••••• P••• G••••• E••••• M••••• F•••• L•••	Hedge Fund	$116M	21	Mar 30, 2020
C••••••• P••• F•• P•••••••• L•••	Hedge Fund	$25.0M	39	Aug 15, 2014
C••••••• P••• S•• I• L•••	Hedge Fund	$9.6M	10	Mar 29, 2019
C••••••• P••• S•• I•• L•••	Other Private Fund	$399,169	11	Mar 31, 2021

Owners and control persons

Schedule A and B, latest filing

C••••• E••• D• · Managing Partner & Chief Compliance Officercontrol
since 02/2014 · owns less than 5%
C••••• E••• D• · Managercontrol
since 02/2014 · owns F of C•• G•• L••
C••••• E••• D• · Grantor, Trusteecontrol
since 07/2011 · owns 75% or more of T•• E•• A•• M•••••••• C•••• L••••• T••••

Entity owners

C•• G•• L•• · General Partner
direct · owns less than 5%
T•• E•• A•• M•••••••• C•••• L••••• T•••• · Limited Partner
direct · owns 75% or more
T•• E•• A•• M•••••••• C•••• L••••• T•••• · Member
indirect · owns 75% or more of C•• G•• L••

Related persons

Schedule D 7.A

C••••••• P••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Sep 18, 2026
advises private funds (Item 7.B): yes on the filing of 2026-05-28, no on the filing of 2026-09-18
peers: independent wealth managers, under $100M (708)
custody status changedChange between filings · filing Sep 18, 2026
custody of client assets (Item 9.A): yes on the filing of 2026-05-28, no on the filing of 2026-09-18
peers: independent wealth managers, under $100M (708)
business activity changedChange between filings · filing Sep 18, 2026
portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-05-28, no on the filing of 2026-09-18
peers: independent wealth managers, under $100M (708)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 8 to 14
May 28, 2026 to Sep 18, 2026
HNW clients · unset to 14.0
May 28, 2026 to Sep 18, 2026
Pooled vehicle clients · 8.0 to unset
May 28, 2026 to Sep 18, 2026
Assets in custody · 0.0 to unset
May 28, 2026 to Sep 18, 2026
Custody of client assets · true to false
May 28, 2026 to Sep 18, 2026
Employees · 2 to 1
May 28, 2026 to Sep 18, 2026
Financial planning clients · to unset
May 28, 2026 to Sep 18, 2026
HQ city · to unset
May 28, 2026 to Sep 18, 2026
HQ state · to unset
May 28, 2026 to Sep 18, 2026
State-registered IARs · 0 to 1
May 28, 2026 to Sep 18, 2026
Private funds · 4 to unset
May 28, 2026 to Sep 18, 2026
Discretionary RAUM · $234M to $53.8M
May 28, 2026 to Sep 18, 2026
HNW RAUM · unset to 53838959.0
May 28, 2026 to Sep 18, 2026
Pooled vehicle RAUM · 234441995.0 to unset
May 28, 2026 to Sep 18, 2026
RAUM · $234M to $53.8M
May 28, 2026 to Sep 18, 2026
Related adviser · false to unset
May 28, 2026 to Sep 18, 2026
Related bank · false to unset
May 28, 2026 to Sep 18, 2026
Related broker-dealer · false to unset
May 28, 2026 to Sep 18, 2026
Related insurance company · false to unset
May 28, 2026 to Sep 18, 2026
Succession · false to unset
May 28, 2026 to Sep 18, 2026
HQ city · EAST PALO ALTO to
Mar 31, 2026 to May 28, 2026
HQ state · CA to
Mar 31, 2026 to May 28, 2026
Advisory employees · 4 to 1
May 2, 2025 to Mar 31, 2026
Employees · 5 to 2
May 2, 2025 to Mar 31, 2026
Discretionary RAUM · $351M to $234M
May 2, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $351M to $234M
May 2, 2025 to Mar 31, 2026
RAUM · $351M to $234M
May 2, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 28, 2025 to May 2, 2025
Discretionary RAUM · $352M to $351M
Mar 28, 2025 to May 2, 2025
Pooled vehicle RAUM · $352M to $351M
Mar 28, 2025 to May 2, 2025
RAUM · $352M to $351M
Mar 28, 2025 to May 2, 2025
Advisory employees · 6 to 4
May 15, 2024 to Mar 28, 2025
Employees · 7 to 5
May 15, 2024 to Mar 28, 2025
Discretionary RAUM · $481M to $352M
May 15, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $481M to $352M
May 15, 2024 to Mar 28, 2025
RAUM · $481M to $352M
May 15, 2024 to Mar 28, 2025
Discretionary RAUM · $416M to $481M
Mar 28, 2024 to May 15, 2024
Pooled vehicle RAUM · $416M to $481M
Mar 28, 2024 to May 15, 2024
RAUM · $416M to $481M
Mar 28, 2024 to May 15, 2024
Accounts · 9 to 8
May 31, 2023 to Mar 28, 2024

Signals

5 dated events

C••••••• P••• M••••••••• L••• reported RAUM $234.4M, down 33% from $351.5M (2025-05-02 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
C••••••• P••• M••••••••• L••• reported RAUM $352.4M, down 27% from $481.5M (2024-05-15 to 2025-03-28)
Mar 28, 2025 · RAUM change · derived
C••••••• P••• M••••••••• L••• reported RAUM $486.1M, down 35% from $742.5M (2022-10-05 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived
C••••••• P••• M••••••••• L••• reported RAUM $845.1M, up 29% from $656.3M (2020-03-30 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
C••••••• P••• M••••••••• L••• filed its initial SEC registration (Form ADV)
Aug 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.

How to reach

public business contact points only, each with its source

Website: c•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 650-285-4300reportedpublic record, Form ADV, Sep 18, 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $53.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026