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•••• L••• A•••••••• L••
Latest filing May 1, 2026
First filing on the tape Aug 8, 2014 · 24 filings
SEC status approved since Aug 20, 2014
RAUM
$78.2M
reported, Item 5.F
Discretionary
99%
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
15
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$78.2M as of May 1, 2026
Mar 29, 2022$32.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 26, 20150 then
Employees (5.A)15 as of May 1, 2026
Mar 26, 20155 then
Private funds7 as of May 1, 2026
Mar 29, 20223 then
RAUM +20% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $11.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $78.2M, 1 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$78.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $78.2M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• S••••• O••••••••• F••• L•• S••••• A• | Private Equity Fund | $35.7M | 2 | Aug 31, 2021 |
| P•••••• S••••• O••••••••• F••• L•• S••••• B• | Private Equity Fund | $19.0M | 87 | Sep 27, 2024 |
| P•••••• S••••• O••••••••• F••• L•• S••••• D• | Private Equity Fund | $15.7M | 4 | Mar 29, 2022 |
| P•••••• S••••• O••••••••• F••• L•• S••••• C• | Private Equity Fund | $2.9M | 1 | Nov 8, 2021 |
| P•••••• S••••• O••••••••• F••• L•• S••••• E• | Private Equity Fund | $2.5M | 1 | Mar 22, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• S••••• D•••• · Treasurercontrolsince 08/2014 · owns 10% to 25%
- F••••••• V•••••• J• · Secretarycontrolsince 08/2021 · owns 10% to 25%
- F••••••• V•••••• J••••• · Chief Operating Officer, Vice Presidentcontrolsince 08/2021 · owns 10% to 25%
- H•••• R••••••• A•••••••• · Managing M•••••controlsince 08/2021 · owns 10% to 25%
- M•••• K••••• S•••• · Managing M•••••controlsince 08/2021 · owns 10% to 25%
- M•••••• C••••••••• T••••• · Managing M•••••controlsince 08/2021 · owns 5% to 10%
- R••••• T••••••• W•••••• · Presidentcontrolsince 08/2021 · owns 10% to 25%
- D••••••• S••••• D•••• · Trustee - F•••••• G•• T••••controlsince 12/2012 · owns F of F•••••• G•• T••••
- D••••••• T•••• A•• · Trustee - T•• D•••••• G•• T••••controlsince 12/2012 · owns F of T•• D•••••• G•• T••••
- F••••••• C••••••••• L••• · Trustee - F•••••• G•• T••••controlsince 12/2012 · owns F of F•••••• G•• T••••
- F••••••• V•••••• J••••• · Trustee - T•• D•••••• G•• T••••controlsince 12/2012 · owns F of T•• D•••••• G•• T••••
- M•••••• A••••••• A••• · Trustee - T•• C•••••••• T• M••••• 2••• T••••controlsince 09/2021 · owns F of T•• C•••••••• T• M••••• 2••• T••••
- M•••••• C••••••••• T••••• · Trustee - C•••••••• T M••••• L••••• R•••••••• Trustcontrolsince 09/2021 · owns F of T•• C•••••••• T• M••••• L••••• R•••••••• T••••
- S•••••• J••••••• · Trustee - T•• C•••••••• T• M••••• 2••• T••••controlsince 09/2021 · owns F of T•• C•••••••• T• M••••• 2••• T••••
- N•••••• A•••••• P•••• · Chief Compliance Officer, General Counselsince 08/2014 · owns less than 5%
Entity owners
- T•• C•••••••• T• M••••• L••••• R•••••••• T•••• · Managing M•••••direct · owns 5% to 10%
- F•••••• G•• T•••• · Non-Managing M•••••direct · owns 10% to 25%
- T•• C•••••••• T• M••••• 2••• T•••• · Non-Managing M•••••direct · owns 5% to 10%
- T•• D•••••• G•• T•••• · Non-Managing M•••••direct · owns 10% to 25%
Related persons
Schedule D 7.A
- H•• F••• A••••••••• L••broker-dealern
- L•••••• S••••• A•••••••• I•••investment advisernRAUM $1.9B
- M•••• L••investment adviserpooled vehicle sponsorn
- P•••••• S••••• O••••••••• S•• L••pooled vehicle sponsorn
Advisers that list P•••• L••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Burlingame, CA6 employees
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7Nov 10, 2025 to Mar 27, 2026
- Assets in custody · $84.0M to $78.2MNov 10, 2025 to Mar 27, 2026
- Discretionary RAUM · $84.0M to $77.3MNov 10, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $0 to $917,096Nov 10, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $84.0M to $78.2MNov 10, 2025 to Mar 27, 2026
- RAUM · $84.0M to $78.2MNov 10, 2025 to Mar 27, 2026
- Accounts · 5 to 7Apr 30, 2025 to Nov 10, 2025
- BD registered reps · 7 to 6Apr 30, 2025 to Nov 10, 2025
- Assets in custody · $65.0M to $84.0MApr 30, 2025 to Nov 10, 2025
- Employees · 19 to 15Apr 30, 2025 to Nov 10, 2025
- Private funds · 5 to 7Apr 30, 2025 to Nov 10, 2025
- Discretionary RAUM · $65.0M to $84.0MApr 30, 2025 to Nov 10, 2025
- Pooled vehicle RAUM · $65.0M to $84.0MApr 30, 2025 to Nov 10, 2025
- RAUM · $65.0M to $84.0MApr 30, 2025 to Nov 10, 2025
- Assets in custody · $74.6M to $65.0MSep 27, 2024 to Apr 30, 2025
- Employees · 17 to 19Sep 27, 2024 to Apr 30, 2025
- Financial planning clients · unset to Sep 27, 2024 to Apr 30, 2025
- Discretionary RAUM · $74.6M to $65.0MSep 27, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $74.6M to $65.0MSep 27, 2024 to Apr 30, 2025
- RAUM · $74.6M to $65.0MSep 27, 2024 to Apr 30, 2025
- Accounts · 4 to 5Apr 30, 2024 to Sep 27, 2024
- Assets in custody · $50.0M to $74.6MApr 30, 2024 to Sep 27, 2024
- Private funds · 4 to 5Apr 30, 2024 to Sep 27, 2024
- Discretionary RAUM · $50.0M to $74.6MApr 30, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $50.0M to $74.6MApr 30, 2024 to Sep 27, 2024
- RAUM · $50.0M to $74.6MApr 30, 2024 to Sep 27, 2024
- Accounts · 3 to 4Jun 15, 2023 to Mar 22, 2024
- Advisory employees · 9 to 8Jun 15, 2023 to Mar 22, 2024
- Assets in custody · $38.6M to $50.0MJun 15, 2023 to Mar 22, 2024
- Employees · 19 to 17Jun 15, 2023 to Mar 22, 2024
- Private funds · 3 to 4Jun 15, 2023 to Mar 22, 2024
- Discretionary RAUM · $38.6M to $50.0MJun 15, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $38.6M to $50.0MJun 15, 2023 to Mar 22, 2024
- RAUM · $38.6M to $50.0MJun 15, 2023 to Mar 22, 2024
- Assets in custody · $38.6M to $38.6MMar 30, 2023 to Jun 15, 2023
- Employees · 16 to 19Mar 30, 2023 to Jun 15, 2023
- Discretionary RAUM · $38.6M to $38.6MMar 30, 2023 to Jun 15, 2023
- Pooled vehicle RAUM · $38.6M to $38.6MMar 30, 2023 to Jun 15, 2023
- RAUM · $38.6M to $38.6MMar 30, 2023 to Jun 15, 2023
- Related insurance company · true to falseMar 30, 2023 to Jun 15, 2023
Signals
8 dated events
- A••• A•••••• M••••• (Trustee - T•• C•••••••• T• M••••• 2••• T••••) appeared on Schedule A of P•••• L••• A•••••••• L••Nov 8, 2021 · Control person joined · fact
- Jennifer Sparks (Trustee - T•• C•••••••• T• M••••• 2••• T••••) appeared on Schedule A of P•••• L••• A•••••••• L••Nov 8, 2021 · Control person joined · fact
- J Victor Fontana (Secretary) appeared on Schedule A of P•••• L••• A•••••••• L••Aug 31, 2021 · Control person joined · fact
- Scott Kevin Moss (Managing Member) appeared on Schedule A of P•••• L••• A•••••••• L••Aug 31, 2021 · Control person joined · fact
- Lynn Christine Fontana (Trustee - F•••••• G•• T••••) appeared on Schedule A of P•••• L••• A•••••••• L••Aug 31, 2021 · Control person joined · fact
- Teri Daniels (Trustee - T•• D•••••• G•• T••••) appeared on Schedule A of P•••• L••• A•••••••• L••Aug 31, 2021 · Control person joined · fact
- Thomas Christian M••••• (Managing Member) appeared on Schedule A of P•••• L••• A•••••••• L••Aug 31, 2021 · Control person joined · fact
- P•••• L••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 8, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••• L••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••• L••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-240-9721reportedpublic record, Form ADV, May 1, 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
- Asset manager (funds and pooled vehicles)deriveda 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