DFX Intelligence

RIA Intelligence

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SEC-registered adviser

U••• F••• M••••••••• L••

Asset manager (funds and pooled vehicles)Danville, CaliforniaCRD 283363SEC 801-110698website IAPD

Latest filing Apr 17, 2026

First filing on the tape May 24, 2017 · 19 filings

SEC status approved since Jun 16, 2017

RAUM

$1.2B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$1.2B as of Apr 17, 2026

Mar 12, 2018$1.1B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 17, 2026

Mar 12, 20180 then

Employees (5.A)2 as of Apr 17, 2026

Mar 12, 20182 then

Private funds1 as of Apr 17, 2026

Mar 12, 20181 then

RAUM +89% over the last fiscal year+81% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 17, 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: $599MderivedRAUM 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: +89%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $157M, 2 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.2B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $157M for 2 clientsreported
Compensation: performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
U••• F••• P••••••• L•	Hedge Fund	$59.2M	26	May 24, 2017

Owners and control persons

Schedule A and B, latest filing

D••••••• R••••••• P••••• · Managing Membercontrol
since 02/2016 · owns 25% to 50%
H•••• A•••••• P••••• · Managing Member, Ccocontrol
since 02/2016 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Apr 17, 2026
RAUM (Item 5.F) moved from $633,586,173 to $1,198,312,942 (+89.0%) between the annual amendments of 2025-03-27 and 2026-04-17; the peer median change was +11.0% (1368 comparable advisers, 93.0th percentile of changes)
peers: asset managers, $1B to $5B (1,368) · 93% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Discretionary RAUM · $634M to $1.2B
Mar 27, 2025 to Mar 24, 2026
Pooled vehicle RAUM · $634M to $1.2B
Mar 27, 2025 to Mar 24, 2026
RAUM · $634M to $1.2B
Mar 27, 2025 to Mar 24, 2026
Financial planning clients · unset to
Feb 28, 2025 to Mar 27, 2025
Discretionary RAUM · $157M to $634M
May 7, 2024 to Feb 28, 2025
Pooled vehicle RAUM · $157M to $634M
May 7, 2024 to Feb 28, 2025
RAUM · $157M to $634M
May 7, 2024 to Feb 28, 2025
Assets in custody · $203M to $157M
May 17, 2023 to Mar 4, 2024
HQ city · ORINDA to DANVILLE
May 17, 2023 to Mar 4, 2024
Discretionary RAUM · $203M to $157M
May 17, 2023 to Mar 4, 2024
Pooled vehicle RAUM · $203M to $157M
May 17, 2023 to Mar 4, 2024
RAUM · $203M to $157M
May 17, 2023 to Mar 4, 2024
Assets in custody · $502M to $203M
Mar 18, 2022 to Mar 6, 2023
Discretionary RAUM · $502M to $203M
Mar 18, 2022 to Mar 6, 2023
Pooled vehicle RAUM · $502M to $203M
Mar 18, 2022 to Mar 6, 2023
RAUM · $502M to $203M
Mar 18, 2022 to Mar 6, 2023
Assets in custody · $983M to $502M
Aug 17, 2021 to Mar 18, 2022
Discretionary RAUM · $983M to $502M
Aug 17, 2021 to Mar 18, 2022
Pooled vehicle RAUM · $983M to $502M
Aug 17, 2021 to Mar 18, 2022
RAUM · $983M to $502M
Aug 17, 2021 to Mar 18, 2022
Advisory employees · 3 to 2
May 5, 2021 to Aug 17, 2021
Employees · 3 to 2
May 5, 2021 to Aug 17, 2021
Accounts · 3 to 2
Mar 28, 2020 to Mar 31, 2021
Advisory employees · 2 to 3
Mar 28, 2020 to Mar 31, 2021
Pooled vehicle clients · 1 to 2
Mar 28, 2020 to Mar 31, 2021
Assets in custody · $1.5B to $983M
Mar 28, 2020 to Mar 31, 2021
Employees · 2 to 3
Mar 28, 2020 to Mar 31, 2021
Discretionary RAUM · $1.5B to $983M
Mar 28, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $1.5B to $983M
Mar 28, 2020 to Mar 31, 2021
RAUM · $1.5B to $983M
Mar 28, 2020 to Mar 31, 2021
Accounts · 1 to 3
May 13, 2019 to Mar 28, 2020
Assets in custody · $716M to $1.5B
May 13, 2019 to Mar 28, 2020
Discretionary RAUM · $716M to $1.5B
May 13, 2019 to Mar 28, 2020
Pooled vehicle RAUM · $716M to $1.5B
May 13, 2019 to Mar 28, 2020
RAUM · $716M to $1.5B
May 13, 2019 to Mar 28, 2020
Assets in custody · $890M to $716M
Mar 21, 2019 to May 13, 2019
HQ city · SAN FRANCISCO to ORINDA
Mar 21, 2019 to May 13, 2019
Discretionary RAUM · $890M to $716M
Mar 21, 2019 to May 13, 2019
Pooled vehicle RAUM · $890M to $716M
Mar 21, 2019 to May 13, 2019
RAUM · $890M to $716M
Mar 21, 2019 to May 13, 2019

Signals

11 dated events

U••• F••• M••••••••• L•• reported RAUM $1.2B, up 89% from $633.6M (2025-03-27 to 2026-03-24)
Mar 24, 2026 · RAUM change · derived
U••• F••• M••••••••• L•• reported RAUM $633.6M, up 303% from $157.1M (2024-05-07 to 2025-02-28)
Feb 28, 2025 · RAUM change · derived
U••• F••• M••••••••• L•• reported RAUM $202.7M, down 60% from $502.4M (2022-03-18 to 2023-03-06)
Mar 6, 2023 · RAUM change · derived
U••• F••• M••••••••• L•• reported RAUM $502.4M, down 49% from $982.6M (2021-08-17 to 2022-03-18)
Mar 18, 2022 · RAUM change · derived
John Audino (Managing Member) no longer on Schedule A of U••• F••• M••••••••• L•• (listed 2021-05-05, absent 2021-08-17)
Aug 17, 2021 · Control person left · inference
U••• F••• M••••••••• L•• reported RAUM $982.6M, down 33% from $1.5B (2020-03-28 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
John Audino (Managing Member) appeared on Schedule A of U••• F••• M••••••••• L••
Mar 31, 2021 · Control person joined · fact
U••• F••• M••••••••• L•• reported RAUM $1.5B, up 105% from $716.1M (2019-05-13 to 2020-03-28)
Mar 28, 2020 · RAUM change · derived
U••• F••• M••••••••• L•• reported RAUM $889.9M, down 26% from $1.2B (2018-05-18 to 2019-03-21)
Mar 21, 2019 · RAUM change · derived
U••• F••• M••••••••• L•• reported RAUM $1.1B, up 347% from $238.3M (2017-05-24 to 2018-03-12)
Mar 12, 2018 · RAUM change · derived
U••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
May 24, 2017 · 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: u•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 415-529-6040reportedpublic record, Form ADV, Apr 17, 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