DFX Intelligence

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F••••

Former SEC-registered adviserFormer SEC adviser· San Francisco, California

Former SEC-registered adviser, based in San Francisco, California, reporting $11.9M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2023-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $11.9M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +2.4%
Private clients: 100% of RAUM, $11.9M

Advisors Advisor movement Where the RAUM sits

As of 2023-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 20 Form ADV filings for this adviser, the latest 3.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 289171 · SEC 801-111037 · 20 filingsShow

CRD 289171SEC 801-111037Legal name E••••••• P••••••••• I•••First filing on the tape Jul 24, 2017, latest Mar 2, 2023IAPD

RAUM

$11.9M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$11.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$11.9M as of Mar 2, 2023

Jan 15, 2018$0 then

HNW client RAUM$0 as of Feb 3, 2021

Jan 23, 2019$0 then

State-registered IARs (5.B.3)1 as of Mar 2, 2023

Jan 15, 20181 then

Employees (5.A)14 as of Mar 2, 2023

Jan 15, 20181 then

Private funds: no history

RAUM +2.4% over the last fiscal year+225% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 2, 2023; every figure names its basis

RAUM per advisor: $11.9MderivedRAUM 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: $854derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 14.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +2.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients: 14,000reportedItem 5.H
Wrap fee program: $11.6MreportedItem 5.I
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)
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

Individuals$11.9M100%

Individual clients: 13,929reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 13,929reported
Financial planning clients: 14,000reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: n/areported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••• D••••• W•••••• · Chief Executive Officer & Chief Compliance Officercontrol
since 05/2017 · owns 25% to 50%
S••••••••• R•• · Chief Technology Officer
since 05/2019 · owns 5% to 10%

Entity owners

P••••••••• F••• I••• L••• · Shareholder
direct · owns 25% to 50%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 26,893 to 13,929
Nov 7, 2022 to Mar 2, 2023
Individual clients · 26,893 to 13,929
Nov 7, 2022 to Mar 2, 2023
Individual RAUM · $11.6M to $11.9M
Nov 7, 2022 to Mar 2, 2023
Non-discretionary RAUM · $11.6M to $11.9M
Nov 7, 2022 to Mar 2, 2023
RAUM · $11.6M to $11.9M
Nov 7, 2022 to Mar 2, 2023
Business name · L•••• to F••••
Nov 7, 2022 to Nov 7, 2022
Accounts · 6,178 to 26,893
Feb 3, 2021 to Mar 17, 2022
Individual clients · 6,178 to 26,893
Feb 3, 2021 to Mar 17, 2022
Employees · 12 to 14
Feb 3, 2021 to Mar 17, 2022
HNW RAUM · 0.0 to unset
Feb 3, 2021 to Mar 17, 2022
Individual RAUM · $3.9M to $11.6M
Feb 3, 2021 to Mar 17, 2022
Non-discretionary RAUM · $3.9M to $11.6M
Feb 3, 2021 to Mar 17, 2022
Pension RAUM · 0.0 to unset
Feb 3, 2021 to Mar 17, 2022
Pooled vehicle RAUM · 0.0 to unset
Feb 3, 2021 to Mar 17, 2022
RAUM · $3.9M to $11.6M
Feb 3, 2021 to Mar 17, 2022
Wrap assets (manager) · $3.9M to $0
Feb 3, 2021 to Mar 17, 2022
Wrap assets (sponsor) · $3.9M to $0
Feb 3, 2021 to Mar 17, 2022
Accounts · 797 to 6,178
Nov 19, 2020 to Feb 3, 2021
Individual clients · 797 to 6,178
Nov 19, 2020 to Feb 3, 2021
Individual RAUM · $347,463 to $3.9M
Nov 19, 2020 to Feb 3, 2021
Non-discretionary RAUM · $347,463 to $3.9M
Nov 19, 2020 to Feb 3, 2021
RAUM · $347,463 to $3.9M
Nov 19, 2020 to Feb 3, 2021
Wrap assets (manager) · $347,463 to $3.9M
Nov 19, 2020 to Feb 3, 2021
Wrap assets (sponsor) · $347,463 to $3.9M
Nov 19, 2020 to Feb 3, 2021
Accounts · 539 to 797
Jul 10, 2019 to Mar 13, 2020
Individual clients · 539 to 797
Jul 10, 2019 to Mar 13, 2020
Employees · 8 to 12
Jul 10, 2019 to Mar 13, 2020
HQ city · unset to SAN FRANCISCO
Jul 10, 2019 to Mar 13, 2020
HQ state · unset to CA
Jul 10, 2019 to Mar 13, 2020
Individual RAUM · $93,090 to $347,463
Jul 10, 2019 to Mar 13, 2020
Non-discretionary RAUM · $93,090 to $347,463
Jul 10, 2019 to Mar 13, 2020
RAUM · $93,090 to $347,463
Jul 10, 2019 to Mar 13, 2020
Wrap assets (manager) · $53,090 to $347,463
Jul 10, 2019 to Mar 13, 2020
Wrap assets (sponsor) · $53,090 to $347,463
Jul 10, 2019 to Mar 13, 2020
HQ city · SAN FRANCISCO to unset
May 22, 2019 to Jul 10, 2019
HQ state · CA to unset
May 22, 2019 to Jul 10, 2019
Accounts · 241 to 539
Feb 6, 2019 to May 22, 2019
Individual clients · 241 to 539
Feb 6, 2019 to May 22, 2019
Employees · 5 to 8
Feb 6, 2019 to May 22, 2019
Financial planning clients · 101-250 to More than 500
Feb 6, 2019 to May 22, 2019

Signals

1 dated events

••• Locked
Jul 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.

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