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•••••• F•••••• M••••••••• I••

Former SEC-registered adviserSanta Clara, CaliforniaCRD 287576SEC 801-110070IAPD
Latest filing Feb 4, 2019
First filing on the tape Feb 22, 2017 · 20 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Feb 4, 2019
Feb 22, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 4, 2019
Feb 22, 20171 then
Employees (5.A)2 as of Feb 4, 2019
Feb 22, 20172 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 4, 2019; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • X••••• Y•• N•• · Managing Member & Chief Compliance Officercontrol
    since 11/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 1 to 2
    Jan 7, 2019 to Feb 4, 2019
  • State-registered IARs · 1 to 2
    Jan 7, 2019 to Feb 4, 2019
  • Accounts · 8 to 0
    Dec 27, 2018 to Jan 7, 2019
  • Advisory employees · 2 to 1
    Dec 27, 2018 to Jan 7, 2019
  • Individual clients · 8 to 0
    Dec 27, 2018 to Jan 7, 2019
  • Financial planning clients · 1-10 to 0
    Dec 27, 2018 to Jan 7, 2019
  • State-registered IARs · 2 to 1
    Dec 27, 2018 to Jan 7, 2019
  • Discretionary RAUM · $380,000 to $0
    Dec 27, 2018 to Jan 7, 2019
  • Individual RAUM · $380,000 to $0
    Dec 27, 2018 to Jan 7, 2019
  • RAUM · $380,000 to $0
    Dec 27, 2018 to Jan 7, 2019
  • Accounts · 4 to 8
    Nov 30, 2018 to Dec 27, 2018
  • Individual clients · 4 to 8
    Nov 30, 2018 to Dec 27, 2018
  • Employees · 6 to 2
    Nov 30, 2018 to Dec 27, 2018
  • Other offices · 2 to 1
    Nov 30, 2018 to Dec 27, 2018
  • Organization form · Limited Liability Company to Corporation
    Nov 30, 2018 to Dec 27, 2018
  • Discretionary RAUM · $70,000 to $380,000
    Nov 30, 2018 to Dec 27, 2018
  • Individual RAUM · $70,000 to $380,000
    Nov 30, 2018 to Dec 27, 2018
  • RAUM · $70,000 to $380,000
    Nov 30, 2018 to Dec 27, 2018
  • Business name · P•••••• F•••••• M••••••••• L•• to P•••••• F•••••• M••••••••• I••
    Dec 27, 2018 to Dec 27, 2018
  • Legal name · P•••••• F•••••• M••••••••• L•• to P•••••• F•••••• M••••••••• I••
    Dec 27, 2018 to Dec 27, 2018
  • Advisory employees · 1 to 2
    Aug 17, 2018 to Aug 28, 2018
  • HQ city · BEIJING to SANTA CLARA
    Aug 17, 2018 to Aug 28, 2018
  • HQ state · unset to CA
    Aug 17, 2018 to Aug 28, 2018
  • State-registered IARs · 1 to 2
    Aug 17, 2018 to Aug 28, 2018
  • Advisory activities · 3 to 2
    Jul 31, 2018 to Aug 17, 2018
  • Other offices · 1 to 2
    Jul 31, 2018 to Aug 17, 2018
  • Legal name · P•••••• F•••••• M••••••••• to P•••••• F•••••• M••••••••• L••
    Aug 17, 2018 to Aug 17, 2018
  • Other offices · 0 to 1
    May 30, 2018 to Jul 31, 2018
  • Business name · P•••••• F•••••• M••••••••• to P•••••• F•••••• M••••••••• L••
    Jul 31, 2018 to Jul 31, 2018
  • Accounts · 0 to 4
    Feb 22, 2017 to Feb 23, 2018
  • Individual clients · unset to 4.0
    Feb 22, 2017 to Feb 23, 2018
  • Employees · 2 to 6
    Feb 22, 2017 to Feb 23, 2018
  • Financial planning clients · 0 to 1-10
    Feb 22, 2017 to Feb 23, 2018
  • Other offices · unset to 0.0
    Feb 22, 2017 to Feb 23, 2018
  • Discretionary RAUM · $0 to $70,000
    Feb 22, 2017 to Feb 23, 2018
  • Individual RAUM · unset to 70000.0
    Feb 22, 2017 to Feb 23, 2018
  • RAUM · $0 to $70,000
    Feb 22, 2017 to Feb 23, 2018
Signals
1 dated events
  • P•••••• F•••••• M••••••••• filed its initial SEC registration (Form ADV)
    Feb 22, 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