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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SEC-registered adviser
A•••• A••••••• L•
Latest filing Aug 25, 2026
First filing on the tape Mar 30, 2020 · 17 filings
SEC status approved since Apr 29, 2020
RAUM
$2.0B
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
32
13 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
8
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.0B as of Aug 25, 2026
Mar 31, 2021$663M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 25, 2026
Mar 31, 20210 then
Employees (5.A)32 as of Aug 25, 2026
Mar 31, 20213 then
Private funds8 as of Aug 25, 2026
Mar 31, 20214 then
RAUM +0.6% over the last fiscal year+24% a year over threeIARs 0 to 0offices 1 to 4
Practice profile
derived from the filing of Aug 25, 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
- $250MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.1%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 pooled vehiclesreportedItem 5.G
- Custody
- $2.0B, 8 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• F••• I••• L• | Hedge Fund | $640M | 188 | Mar 31, 2021 |
| A•••• F••• I•• L• | Hedge Fund | $286M | 80 | Mar 30, 2020 |
| A•••• F••• I•• L• | Hedge Fund | $268M | 76 | Mar 27, 2024 |
| A•••• F••• I• L• | Hedge Fund | $92.1M | 18 | May 23, 2017 |
| A•••• S•••••••• O••••••••• I• L•• | Private Equity Fund | $29.8M | 2 | Mar 30, 2020 |
| A•••• S•••••••• O••••••••• I• L•• | Private Equity Fund | $14.7M | 3 | Mar 27, 2024 |
| A•••• S•••••••• O••••••••• I•• L•• | Private Equity Fund | $11.2M | 1 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• A•••••• F•••• · Principalcontrolsince 01/2017 · owns 25% to 50%
- H••• D•••• · Principalcontrolsince 01/2017 · owns 25% to 50%
- G•••••• A•••••• F•••• · Managercontrolsince 01/2017 · owns 50% to 75% of A•••• A••••••• G• L••
- H••• D•••• · Managercontrolsince 01/2017 · owns 50% to 75% of A•••• A••••••• G• L••
- C••••••• E••••• J••••• · Cco & Vice Presidentsince 11/2024 · owns less than 5%
- C••••••••• M••••••• A•••••• · Directorsince 03/2022 · owns less than 5%
Entity owners
- A•••• A••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A•••• C•••••• F••• I•• G• L••pooled vehicle sponsorn
- A•••• C•••••• F••• I• G• L••bankpooled vehicle sponsorn
- A•••• C•••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $1.9B to $2.0BMar 31, 2026 to Aug 25, 2026
- Discretionary RAUM · $1.9B to $2.0BMar 31, 2026 to Aug 25, 2026
- Pooled vehicle RAUM · $1.9B to $2.0BMar 31, 2026 to Aug 25, 2026
- RAUM · $1.9B to $2.0BMar 31, 2026 to Aug 25, 2026
- Accounts · 7 to 8Sep 11, 2025 to Mar 31, 2026
- Advisory employees · 9 to 13Sep 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 7 to 8Sep 11, 2025 to Mar 31, 2026
- Assets in custody · $2.0B to $1.9BSep 11, 2025 to Mar 31, 2026
- Employees · 29 to 32Sep 11, 2025 to Mar 31, 2026
- Other offices · 1 to 4Sep 11, 2025 to Mar 31, 2026
- Private funds · 7 to 8Sep 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.0B to $1.9BSep 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.0B to $1.9BSep 11, 2025 to Mar 31, 2026
- RAUM · $2.0B to $1.9BSep 11, 2025 to Mar 31, 2026
- Advisory employees · 6 to 9Dec 16, 2024 to Apr 30, 2025
- Assets in custody · $1.3B to $2.0BDec 16, 2024 to Apr 30, 2025
- Employees · 18 to 29Dec 16, 2024 to Apr 30, 2025
- Financial planning clients · unset to Dec 16, 2024 to Apr 30, 2025
- Discretionary RAUM · $1.3B to $2.0BDec 16, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $1.3B to $2.0BDec 16, 2024 to Apr 30, 2025
- RAUM · $1.3B to $2.0BDec 16, 2024 to Apr 30, 2025
- Other offices · 0 to 1Dec 16, 2024 to Dec 16, 2024
- Accounts · 4 to 7May 1, 2023 to Mar 27, 2024
- Pooled vehicle clients · 4 to 7May 1, 2023 to Mar 27, 2024
- Assets in custody · $1.1B to $1.3BMay 1, 2023 to Mar 27, 2024
- Private funds · 4 to 7May 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.1B to $1.3BMay 1, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.1B to $1.3BMay 1, 2023 to Mar 27, 2024
- RAUM · $1.1B to $1.3BMay 1, 2023 to Mar 27, 2024
- Assets in custody · $1.0B to $1.1BMar 30, 2023 to May 1, 2023
- Discretionary RAUM · $1.0B to $1.1BMar 30, 2023 to May 1, 2023
- Pooled vehicle RAUM · $1.0B to $1.1BMar 30, 2023 to May 1, 2023
- RAUM · $1.0B to $1.1BMar 30, 2023 to May 1, 2023
- Assets in custody · $971M to $1.0BSep 28, 2022 to Mar 30, 2023
- Employees · 12 to 18Sep 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $971M to $1.0BSep 28, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $971M to $1.0BSep 28, 2022 to Mar 30, 2023
- RAUM · $971M to $1.0BSep 28, 2022 to Mar 30, 2023
- HQ city · SAN MATEO to BURLINGAMEMar 29, 2022 to Sep 28, 2022
- Advisory employees · 1 to 6May 5, 2021 to Mar 29, 2022
Signals
5 dated events
- A•••• A••••••• L• reported RAUM $2.0B, up 48% from $1.3B (2024-12-16 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- A•••• A••••••• L• reported RAUM $1.3B, up 27% from $1.1B (2023-05-01 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- A•••• A••••••• L• reported RAUM $971.1M, up 46% from $663.1M (2021-05-05 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A•••• A••••••• L• reported RAUM $663.1M, up 105% from $324.0M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A•••• A••••••• L• filed its initial SEC registration (Form ADV)Mar 30, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• A••••••• L• · Independent Sponsorsshared crd · capital_provider
- A•••• A••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 322-3303reportedpublic record, Form ADV, Aug 25, 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