DFX Intelligence

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A••••••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2020-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

RAUM change, 1 year: -100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2020-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 13 Mar 2020, RAUM $44.4M to $0 (-100.0%) on the Form ADV filed 13 Mar 2020.

Every filed figure, and the identifiersCRD 173625 · SEC 801-80524 · 16 filingsShow

CRD 173625SEC 801-80524Legal name A•••••• I•••First filing on the tape Oct 22, 2014, latest Mar 13, 2020IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM -100% over the last fiscal year · the tape starts Oct 22, 2014

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Mar 13, 2020

Mar 26, 2015$35.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 13, 2020

Mar 26, 20150 then

Employees (5.A)1 as of Mar 13, 2020

Mar 26, 20156 then

Private funds: no history

RAUM -100% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 13, 2020; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: -100%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 assetsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
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

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

V••••••••• A•••••• J••• · Directorcontrol
since 08/2015 · owns 50% to 75%
A•••••• F••••••• · Directorcontrol
since 01/2017 · owns F of V•••••• P••••••• G• I•• L•••
L••• D• L•••••• F••••••• · Directorcontrol
since 01/2017 · owns F of V•••••• P••••••• G• I•• L•••
Q••••••• E•••••• · Chief Compliance Officer
since 11/2019 · owns less than 5%

Entity owners

M•• L•••••• · Director
direct · owns 5% to 10%
V•••••• P••••••• G• I•• L••• · Director
direct · owns 5% to 10%
V•••••••• C•••••• S••••• · Director
direct · owns 5% to 10%
I••••••••• S•••• E••••••• C••••••••• I••••••• T•••• · L•••••• Partner
indirect · owns 25% to 50% of V•••••• P••••••• G• I•• L•••

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

Accounts · 11,945 to 0
Nov 14, 2019 to Mar 13, 2020
Advisory employees · 3 to 1
Nov 14, 2019 to Mar 13, 2020
Individual clients · 11,945 to 0
Nov 14, 2019 to Mar 13, 2020
Employees · 8 to 1
Nov 14, 2019 to Mar 13, 2020
HQ city · SAN FRANCISCO to unset
Nov 14, 2019 to Mar 13, 2020

Full history · 58 changes

HQ state · CA to unset
Nov 14, 2019 to Mar 13, 2020
Discretionary RAUM · $69.8M to $0
Nov 14, 2019 to Mar 13, 2020
Individual RAUM · $69.8M to $0
Nov 14, 2019 to Mar 13, 2020
RAUM · $69.8M to $0
Nov 14, 2019 to Mar 13, 2020
HQ city · REDWOOD CITY to SAN FRANCISCO
Sep 12, 2019 to Nov 14, 2019
Accounts · 4,269 to 11,945
Mar 12, 2019 to Sep 12, 2019
Advisory activities · 2 to 1
Mar 12, 2019 to Sep 12, 2019
Individual clients · 4,269 to 11,945
Mar 12, 2019 to Sep 12, 2019
Employees · 9 to 8
Mar 12, 2019 to Sep 12, 2019
Discretionary RAUM · $44.4M to $69.8M
Mar 12, 2019 to Sep 12, 2019
Individual RAUM · $44.4M to $69.8M
Mar 12, 2019 to Sep 12, 2019
RAUM · $44.4M to $69.8M
Mar 12, 2019 to Sep 12, 2019
Accounts · 2,852 to 4,269
Jun 7, 2018 to Mar 12, 2019
Individual clients · 2,852 to 4,269
Jun 7, 2018 to Mar 12, 2019
Employees · 8 to 9
Jun 7, 2018 to Mar 12, 2019
Discretionary RAUM · $41.2M to $44.4M
Jun 7, 2018 to Mar 12, 2019
Individual RAUM · $41.2M to $44.4M
Jun 7, 2018 to Mar 12, 2019
RAUM · $41.2M to $44.4M
Jun 7, 2018 to Mar 12, 2019
Accounts · 1,818 to 2,852
Apr 1, 2018 to Jun 7, 2018
Individual clients · 1,818 to 2,852
Apr 1, 2018 to Jun 7, 2018
Discretionary RAUM · $29.3M to $41.2M
Apr 1, 2018 to Jun 7, 2018
Individual RAUM · $29.3M to $41.2M
Apr 1, 2018 to Jun 7, 2018
RAUM · $29.3M to $41.2M
Apr 1, 2018 to Jun 7, 2018
Accounts · 1,779 to 1,818
Sep 29, 2017 to Apr 1, 2018
Advisory employees · 4 to 3
Sep 29, 2017 to Apr 1, 2018
Individual clients · unset to 1818.0
Sep 29, 2017 to Apr 1, 2018
Employees · 12 to 8
Sep 29, 2017 to Apr 1, 2018
Other offices · unset to 0.0
Sep 29, 2017 to Apr 1, 2018
Discretionary RAUM · $62.3M to $29.3M
Sep 29, 2017 to Apr 1, 2018
Individual RAUM · unset to 29308035.0
Sep 29, 2017 to Apr 1, 2018
RAUM · $62.3M to $29.3M
Sep 29, 2017 to Apr 1, 2018
Accounts · 1,480 to 1,779
Nov 18, 2016 to Mar 30, 2017
Employees · 8 to 12
Nov 18, 2016 to Mar 30, 2017
Discretionary RAUM · $53.4M to $62.3M
Nov 18, 2016 to Mar 30, 2017
RAUM · $53.4M to $62.3M
Nov 18, 2016 to Mar 30, 2017
Accounts · 1,133 to 1,480
Mar 31, 2016 to Jun 3, 2016
Discretionary RAUM · $51.2M to $53.4M
Mar 31, 2016 to Jun 3, 2016
RAUM · $51.2M to $53.4M
Mar 31, 2016 to Jun 3, 2016
Accounts · 84 to 1,133
Oct 22, 2015 to Mar 31, 2016
Discretionary RAUM · $35.0M to $51.2M
Oct 22, 2015 to Mar 31, 2016
RAUM · $35.0M to $51.2M
Oct 22, 2015 to Mar 31, 2016
Succession · true to false
Oct 22, 2015 to Mar 31, 2016
Legal name · A•••••• LLC to A•••••• I•••
Sep 9, 2015 to Oct 22, 2015
Organization form · Limited Liability Company to Corporation
Sep 9, 2015 to Oct 22, 2015
Succession · false to true
Sep 9, 2015 to Oct 22, 2015
Advisory employees · 3 to 4
Mar 26, 2015 to Sep 9, 2015
Employees · 6 to 8
Mar 26, 2015 to Sep 9, 2015
Accounts · 8 to 84
Oct 22, 2014 to Mar 26, 2015
Advisory employees · 2 to 3
Oct 22, 2014 to Mar 26, 2015
Advisory activities · 1 to 2
Oct 22, 2014 to Mar 26, 2015
Employees · 2 to 6
Oct 22, 2014 to Mar 26, 2015
Discretionary RAUM · $1.0M to $35.0M
Oct 22, 2014 to Mar 26, 2015
RAUM · $1.0M to $35.0M
Oct 22, 2014 to Mar 26, 2015

Signals

6 dated events

••• Locked
Sep 12, 2019 · Control person left · inference
••• Locked
Mar 12, 2019 · Control person joined · fact
••• Locked
Mar 12, 2019 · Control person joined · fact
••• Locked
Mar 12, 2019 · Control person joined · fact
••• Locked
Oct 22, 2015 · Succession (Item 4) · fact

Full timeline · 6 events

••• Locked
Oct 22, 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: private clients.