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
E••••••••• C•••••• I••••••••• M••••••••• • L••
Latest filing Apr 24, 2026
First filing on the tape May 8, 2015 · 24 filings
SEC status approved since Jun 8, 2015
RAUM
$643M
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
16
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$643M as of Apr 24, 2026
Feb 2, 2016$391M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 24, 2026
Feb 2, 20160 then
Employees (5.A)16 as of Apr 24, 2026
Feb 2, 201611 then
Private funds4 as of Apr 24, 2026
Feb 2, 20162 then
RAUM -17% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 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
- $161MderivedRAUM 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
- -17%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
- 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
- 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)
- 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$643M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
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 |
|---|---|---|---|---|
| C••••••••• E••••••••• F•••• F••• I•• L•• | Other Private Fund | $961M | 52 | Mar 30, 2020 |
| C••••••••• E••••••••• F•••• F•••• L•• | Other Private Fund | $145M | 25 | Mar 14, 2019 |
| W••••••••• O••••••••• F•••• L•• | Other Private Fund | $45.1M | 20 | May 8, 2015 |
| W• I••••••• I• L•• | Other Private Fund | $29.7M | 3 | Mar 31, 2022 |
| W•••• • W••••••••• O••••••••• F••• I•• L••no longer reported | Other Private Fund | $2.8M | 13 | Mar 14, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C•••• D••••• Y•••••• · Executive Officercontrolsince 03/2015 · owns less than 5%
- H•••• T•••••••• D••••• · Chief Compliance Officer, Chief Executive Officercontrolsince 09/2024 · owns less than 5%
- P••••••••• J•••• J•• · Executive Officercontrolsince 03/2015 · owns less than 5%
Entity owners
- E••••••••• C•••••• G••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- E•••• I• L••pooled vehicle sponsorn
- E•••• I•• L••pooled vehicle sponsorn
- E••••••••• C•••••• A••• P••• L••••••pooled vehicle sponsorn
- E••••••••• C•••••• G•••• E••••• L••••••broker-dealern
- E••••••••• C•••••• S•••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA4 employees
What changed
consecutive filings, newest first
- Employees · 22 to 16Oct 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $773M to $643MOct 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $773M to $643MOct 31, 2025 to Mar 30, 2026
- RAUM · $773M to $643MOct 31, 2025 to Mar 30, 2026
- Related broker-dealer · true to falseOct 31, 2025 to Mar 30, 2026
- Advisory employees · 11 to 5Oct 4, 2024 to Mar 19, 2025
- BD registered reps · 3 to 2Oct 4, 2024 to Mar 19, 2025
- Employees · 36 to 22Oct 4, 2024 to Mar 19, 2025
- Financial planning clients · unset to Oct 4, 2024 to Mar 19, 2025
- Other offices · 1 to 0Oct 4, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.2B to $773MOct 4, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $1.2B to $773MOct 4, 2024 to Mar 19, 2025
- RAUM · $1.2B to $773MOct 4, 2024 to Mar 19, 2025
- Advisory employees · 20 to 11Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 4 to 3Mar 31, 2023 to Mar 28, 2024
- Employees · 45 to 36Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.5B to $1.2BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.5B to $1.2BMar 31, 2023 to Mar 28, 2024
- RAUM · $1.5B to $1.2BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 17 to 20Mar 31, 2022 to Mar 31, 2023
- Employees · 40 to 45Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.5B to $1.5BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.5B to $1.5BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.5B to $1.5BMar 31, 2022 to Mar 31, 2023
- Accounts · 3 to 4Mar 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 4Mar 29, 2021 to Mar 31, 2022
- Employees · 37 to 40Mar 29, 2021 to Mar 31, 2022
- Private funds · 3 to 4Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.2B to $1.5BMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.2B to $1.5BMar 29, 2021 to Mar 31, 2022
- RAUM · $1.2B to $1.5BMar 29, 2021 to Mar 31, 2022
- Accounts · 4 to 3Nov 10, 2020 to Mar 29, 2021
- Advisory employees · 19 to 17Nov 10, 2020 to Mar 29, 2021
- Pooled vehicle clients · 4 to 3Nov 10, 2020 to Mar 29, 2021
- Employees · 36 to 37Nov 10, 2020 to Mar 29, 2021
- Private funds · 4 to 3Nov 10, 2020 to Mar 29, 2021
- Discretionary RAUM · $672M to $1.2BNov 10, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $672M to $1.2BNov 10, 2020 to Mar 29, 2021
- RAUM · $672M to $1.2BNov 10, 2020 to Mar 29, 2021
- Accounts · 3 to 4Mar 14, 2019 to Mar 30, 2020
Signals
9 dated events
- E••••••••• C•••••• I••••••••• M••••••••• • L•• reported RAUM $773.4M, down 34% from $1.2B (2024-10-04 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- Coolidge William Campbell (Executive Officer, Chief Compliance Officer) no longer on Schedule A of E••••••••• C•••••• I••••••••• M••••••••• • L•• (listed 2024-03-28, absent 2024-10-04)Oct 4, 2024 · Control person left · inference
- D••••• T••••••• H••• (Chief Compliance Officer, Chief Executive Officer) appeared on Schedule A of E••••••••• C•••••• I••••••••• M••••••••• • L••Oct 4, 2024 · Control person joined · fact
- Quisumbing Picharn Kullavanijaya (Executive Officer) no longer on Schedule A of E••••••••• C•••••• I••••••••• M••••••••• • L•• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- E••••••••• C•••••• I••••••••• M••••••••• • L•• reported RAUM $1.5B, up 29% from $1.2B (2021-03-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- E••••••••• C•••••• I••••••••• M••••••••• • L•• reported RAUM $1.2B, up 72% from $671.8M (2020-11-10 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- E••••••••• C•••••• I••••••••• M••••••••• • L•• reported RAUM $671.8M, up 44% from $467.1M (2019-03-14 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- E••••••••• C•••••• I••••••••• M••••••••• • L•• reported RAUM $467.1M, up 169% from $173.5M (2018-03-27 to 2019-03-14)Mar 14, 2019 · RAUM change · derived
- E••••••••• C•••••• I••••••••• M••••••••• • L•• filed its initial SEC registration (Form ADV)May 8, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••••• C•••••• I••••••••• M••••••••• • L•• · Independent Sponsorsshared crd · capital_provider
- E••••••••• C•••••• I••••••••• M••••••••• • L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 971-352-8430reportedpublic record, Form ADV, Apr 24, 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