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

C••••• B••••• C•••••• P•••••••• L••

Former SEC-registered adviserMenlo Park, CaliforniaCRD 286596SEC 801-109939IAPD
Latest filing Nov 13, 2018
First filing on the tape Jan 26, 2017 · 12 filings
RAUM
$1.5B
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
21
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.5B as of Nov 13, 2018
Jan 26, 2017$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 13, 2018
Jan 26, 20170 then
Employees (5.A)21 as of Nov 13, 2018
Jan 26, 20173 then
Private funds: no history
Practice profile
derived from the filing of Nov 13, 2018; 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
$1.5BderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
$70.0M, 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$70.0M for 1 clientsreported
Compensation
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• H••••• R•••••• · Member; Co-Founder; Partnercontrol
        since 12/2016 · owns 25% to 50%
      • G••••••• M••••••• A•••••• · Chief Accounting Officercontrol
        since 11/2017 · owns less than 5%
      • K••• H•••• J••• · Member; Co-Founder; Partnercontrol
        since 12/2016 · owns 25% to 50%
      • K••• P••••• C••• · Partnercontrol
        since 04/2017 · owns 25% to 50%
      • S••••••• A•• M•••• · Chief Compliance Officercontrol
        since 12/2016 · owns less than 5%
      • B••••••• H••••• R•••••• · Shareholder; Director; Co-Presidentcontrol
        since 12/2016 · owns 25% to 50% of C••••• B••••• M••••••••• C••••
      • K••• H•••• J••• · Shareholder; Directorcontrol
        since 12/2016 · owns 25% to 50% of C••••• B••••• M••••••••• C••••
      • K••• P••••• C••• · Shareholder; Director; Co-Presidentcontrol
        since 12/2016 · owns 25% to 50% of C••••• B••••• M••••••••• C••••
      Entity owners
      • C••••• B••••• M••••••••• C•••• · Investment Manager
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • B•••••• 100004, China1 employees
      • H••• K•••, H••• Kong1 employees
      What changed
      consecutive filings, newest first
      • HQ city · PALO ALTO to MENLO PARK
        Nov 30, 2017 to Jan 26, 2018
      • Pooled vehicle clients · unset to 1.0
        Jul 28, 2017 to Nov 30, 2017
      • Assets in custody · $11.0M to $70.0M
        Jul 28, 2017 to Nov 30, 2017
      • Employees · 4 to 21
        Jul 28, 2017 to Nov 30, 2017
      • Other offices · unset to 2.0
        Jul 28, 2017 to Nov 30, 2017
      • Pooled vehicle RAUM · unset to 1515151515.0
        Jul 28, 2017 to Nov 30, 2017
      • HQ city · B•••••• to PALO ALTO
        May 22, 2017 to Jul 28, 2017
      • HQ state · unset to CA
        May 22, 2017 to Jul 28, 2017
      • Advisory employees · 3 to 4
        Feb 23, 2017 to May 22, 2017
      • Assets in custody · $11.7M to $11.0M
        Feb 23, 2017 to May 22, 2017
      • Employees · 3 to 4
        Feb 23, 2017 to May 22, 2017
      Signals
      1 dated events
      • C••••• B••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 26, 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.
      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