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
P••••••• C••••••
Legal name P••••••• C•••••• M••••••••• C••
Latest filing May 12, 2022
First filing on the tape Nov 8, 2019 · 14 filings
RAUM
$664M
reported, Item 5.F
Discretionary
36%
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$647M gross assets
History
14 filings and snapshots on the tape
RAUM$631M as of Mar 18, 2022
Mar 17, 2020$269M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2022
Mar 17, 20200 then
Employees (5.A)6 as of Mar 18, 2022
Mar 17, 20205 then
Private funds7 as of Mar 18, 2022
Mar 17, 20206 then
RAUM +80% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 12, 2022; 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
- $94.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 36%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
- +71%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.4M, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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$664M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4M for 4 clientsreported
- Compensation
- fixed, 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
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• W•••••••• I••••••••• C•••••• L•no longer reported | Private Equity Fund | $59.1M | 44 | May 30, 2017 |
| B•••••• T•••••• I••••••••• C•••••• L•no longer reported | Private Equity Fund | $19.8M | 41 | May 30, 2017 |
| B•••••• W••••• I••••••••• C•••••• L•no longer reported | Venture Capital Fund | $13.6M | 13 | May 30, 2017 |
| T•••••• Y•••••••• E••••••••• M••••••••• C••••••••• C••••••••no longer reported | Private Equity Fund | $8.8M | 2 | May 30, 2017 |
| S• J••••••• U• I••••••••• I• L• | Venture Capital Fund | $7.3M | 1 | May 30, 2017 |
| B•••••• B•••• I••••••••• C•••••• L•no longer reported | Venture Capital Fund | $7.0M | 14 | May 30, 2017 |
| S• J••••••• U• I••••••••• V••• L•no longer reported | Private Equity Fund | $5.8M | 1 | May 30, 2017 |
| B•••••• J••••••••• I••••••••• C•••••• L•no longer reported | Venture Capital Fund | $5.0M | 5 | May 30, 2017 |
| S• J••••••• U• I••••••••• X• L•no longer reported | Private Equity Fund | $2.9M | 15 | May 30, 2017 |
| B•••••• S•••••••• F••••••• I••••••••• I••••••••• C•••••• L•no longer reported | Venture Capital Fund | $500,000 | 3 | May 30, 2017 |
| S• J••••••• U• I••••••••• V•••• L• | Venture Capital Fund | $0 | 1 | Nov 8, 2019 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• K•••••••• D•• · Ceocontrolsince 06/2015 · owns less than 5%
- P•••• Z•••••••• N•• · Directorcontrolsince 06/2015 · owns less than 5%
- S•••••••• S•••••• J••••• · Cfosince 06/2019 · owns less than 5%
- X•• W••••• N•• · Chief Compliance Officersince 11/2019 · owns less than 5%
Entity owners
- B•••••• S• J••••••• I••••••••• M••••••••• C•• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••••• S• J••••••• I••••••••• M••••••••• C••• L•••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $223M to $240MMar 18, 2022 to Apr 28, 2022
- Non-discretionary RAUM · $408M to $423MMar 18, 2022 to Apr 28, 2022
- Pooled vehicle RAUM · $631M to $664MMar 18, 2022 to Apr 28, 2022
- RAUM · $631M to $664MMar 18, 2022 to Apr 28, 2022
- Accounts · 9 to 7Apr 9, 2021 to Mar 18, 2022
- Pooled vehicle clients · 9 to 7Apr 9, 2021 to Mar 18, 2022
- Assets in custody · $104M to $2.4MApr 9, 2021 to Mar 18, 2022
- Private funds · 9 to 7Apr 9, 2021 to Mar 18, 2022
- Discretionary RAUM · $25.0M to $223MApr 9, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $343M to $408MApr 9, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $368M to $631MApr 9, 2021 to Mar 18, 2022
- RAUM · $368M to $631MApr 9, 2021 to Mar 18, 2022
- Accounts · 7 to 9Jan 15, 2021 to Mar 31, 2021
- Pooled vehicle clients · 7 to 9Jan 15, 2021 to Mar 31, 2021
- Assets in custody · $105M to $104MJan 15, 2021 to Mar 31, 2021
- Financial planning clients · 1-10 to unsetJan 15, 2021 to Mar 31, 2021
- Private funds · 7 to 9Jan 15, 2021 to Mar 31, 2021
- Discretionary RAUM · $0 to $25.0MJan 15, 2021 to Mar 31, 2021
- Non-discretionary RAUM · $286M to $343MJan 15, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $286M to $368MJan 15, 2021 to Mar 31, 2021
- RAUM · $286M to $368MJan 15, 2021 to Mar 31, 2021
- Accounts · 12 to 7Mar 17, 2020 to Jan 15, 2021
- Advisory employees · 5 to 6Mar 17, 2020 to Jan 15, 2021
- Pooled vehicle clients · 12 to 7Mar 17, 2020 to Jan 15, 2021
- Assets in custody · $94.4M to $105MMar 17, 2020 to Jan 15, 2021
- Employees · 5 to 6Mar 17, 2020 to Jan 15, 2021
- Financial planning clients · 11-25 to 1-10Mar 17, 2020 to Jan 15, 2021
- HQ city · PALO ALTO to unsetMar 17, 2020 to Jan 15, 2021
- HQ state · CA to unsetMar 17, 2020 to Jan 15, 2021
- Private funds · 6 to 7Mar 17, 2020 to Jan 15, 2021
- Non-discretionary RAUM · $269M to $286MMar 17, 2020 to Jan 15, 2021
- Pooled vehicle RAUM · $269M to $286MMar 17, 2020 to Jan 15, 2021
- RAUM · $269M to $286MMar 17, 2020 to Jan 15, 2021
- Assets in custody · $94.6M to $94.4MNov 18, 2019 to Mar 17, 2020
- Other offices · 1 to 0Nov 18, 2019 to Mar 17, 2020
- Non-discretionary RAUM · $264M to $269MNov 18, 2019 to Mar 17, 2020
- Pooled vehicle RAUM · $264M to $269MNov 18, 2019 to Mar 17, 2020
- RAUM · $264M to $269MNov 18, 2019 to Mar 17, 2020
- Private funds · 12 to 6Nov 8, 2019 to Nov 15, 2019
Signals
2 dated events
- P••••••• C•••••• reported RAUM $630.6M, up 71% from $367.8M (2021-04-09 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- P••••••• C•••••• filed its initial SEC registration (Form ADV)Nov 8, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• C•••••• · Private Equityshared crd · organization
- P••••••• C•••••• · Venture Capitalshared crd · organization
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