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

A•••••••• C•••••• M••••••••• L•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 269947SEC 801-106498IAPD
Latest filing Apr 21, 2021
First filing on the tape Jul 30, 2015 · 14 filings
RAUM
$510M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$119M gross assets
History
14 filings and snapshots on the tape
RAUM$510M as of Mar 23, 2021
Mar 22, 2016$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Mar 22, 20160 then
Employees (5.A)7 as of Mar 23, 2021
Mar 22, 20167 then
Private funds2 as of Mar 23, 2021
Mar 22, 20162 then
RAUM +55% over the last fiscal year+76% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 21, 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
$63.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+55%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 businesses and institutions, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Other investment advisers$340M67%
  • Pooled investment vehicles$133M26%
  • Corporations and businesses$37.6M7.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• G••••• H••••••••• F•••• L•••Hedge Fund$103M43Jul 30, 2015
      A•••••••• G••••• H••••••••• ••••••• F•••• L•••Hedge Fund$15.7M3Jul 30, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• C••••••• L••••• · Chief Financial Officercontrol
        since 06/2015 · owns less than 5%
      • K••• S••••• C•••••• · Founder / Chief Investment Officercontrol
        since 06/2015 · owns less than 5%
      • Z••••••• C••••••••• R••••• · Chief Compliance Officer / Chief Operating Officercontrol
        since 06/2015 · owns less than 5%
      • K••• S••••• C•••••• · Trusteecontrol
        since 06/2004 · owns F of K•• 2••• T••••
      • K••• S••••• C•••••• · Managercontrol
        since 06/2015 · owns F of C•••• C•••••••• L••
      • K••• S••••• C•••••• · Managercontrol
        since 06/2015 · owns 75% or more of A•• H•• L••
      Entity owners
      • A•• H•• L•• · Sole Limited Partner
        direct · owns 75% or more
      • C•••• C•••••••• L•• · General Partner
        direct · owns less than 5%
      • K•• 2••• T•••• · Owner/Member
        indirect · owns 75% or more of C•••• C•••••••• L••
      Related persons
      Schedule D 7.A
      • D••••••• D••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 1 to 2
        Jan 4, 2021 to Mar 23, 2021
      • Pooled vehicle clients · 7 to 3
        Jan 4, 2021 to Mar 23, 2021
      • Employees · 8 to 7
        Jan 4, 2021 to Mar 23, 2021
      • Discretionary RAUM · $328M to $510M
        Jan 4, 2021 to Mar 23, 2021
      • Pooled vehicle RAUM · $313M to $133M
        Jan 4, 2021 to Mar 23, 2021
      • RAUM · $328M to $510M
        Jan 4, 2021 to Mar 23, 2021
      • Accounts · 4 to 8
        Mar 29, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 4 to 7
        Mar 29, 2019 to Mar 27, 2020
      • Discretionary RAUM · $139M to $328M
        Mar 29, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $139M to $313M
        Mar 29, 2019 to Mar 27, 2020
      • RAUM · $139M to $328M
        Mar 29, 2019 to Mar 27, 2020
      • Advisory employees · 4 to 5
        Mar 23, 2018 to Mar 29, 2019
      • Charity clients · 0.0 to unset
        Mar 23, 2018 to Mar 29, 2019
      • Corporate clients · 0.0 to unset
        Mar 23, 2018 to Mar 29, 2019
      • HNW clients · 0.0 to unset
        Mar 23, 2018 to Mar 29, 2019
      • Individual clients · 0.0 to unset
        Mar 23, 2018 to Mar 29, 2019
      • Pension plan clients · 0.0 to unset
        Mar 23, 2018 to Mar 29, 2019
      • Employees · 7 to 8
        Mar 23, 2018 to Mar 29, 2019
      • Discretionary RAUM · $94.2M to $139M
        Mar 23, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $94.2M to $139M
        Mar 23, 2018 to Mar 29, 2019
      • RAUM · $94.2M to $139M
        Mar 23, 2018 to Mar 29, 2019
      • Advisory activities · 2 to 1
        Mar 24, 2017 to Mar 23, 2018
      • Charity clients · unset to 0.0
        Mar 24, 2017 to Mar 23, 2018
      • Corporate clients · unset to 0.0
        Mar 24, 2017 to Mar 23, 2018
      • HNW clients · unset to 0.0
        Mar 24, 2017 to Mar 23, 2018
      • Individual clients · unset to 0.0
        Mar 24, 2017 to Mar 23, 2018
      • Pension plan clients · unset to 0.0
        Mar 24, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 24, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 23, 2018
      • Discretionary RAUM · $94.5M to $94.2M
        Mar 24, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 94240726.0
        Mar 24, 2017 to Mar 23, 2018
      • RAUM · $94.5M to $94.2M
        Mar 24, 2017 to Mar 23, 2018
      • Accounts · 3 to 4
        Apr 28, 2016 to Mar 24, 2017
      • Advisory activities · 1 to 2
        Apr 28, 2016 to Mar 24, 2017
      • Discretionary RAUM · $105M to $94.5M
        Apr 28, 2016 to Mar 24, 2017
      • RAUM · $105M to $94.5M
        Apr 28, 2016 to Mar 24, 2017
      • Advisory activities · 2 to 1
        Nov 9, 2015 to Mar 22, 2016
      • Assets in custody · 0.0 to unset
        Nov 9, 2015 to Mar 22, 2016
      • Employees · 6 to 7
        Nov 9, 2015 to Mar 22, 2016
      • Discretionary RAUM · $116M to $105M
        Nov 9, 2015 to Mar 22, 2016
      Signals
      3 dated events
      • A•••••••• C•••••• M••••••••• L••• reported RAUM $510.4M, up 55% from $328.4M (2021-01-04 to 2021-03-23)
        Mar 23, 2021 · RAUM change · derived
      • A•••••••• C•••••• M••••••••• L••• reported RAUM $328.4M, up 137% from $138.7M (2019-03-29 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • A•••••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Jul 30, 2015 · 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