DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C•••••• A••••••• L••

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

Former SEC-registered adviser, based in San Francisco, California.

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

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 10 Form ADV filings for this adviser, the latest 2.5 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 291724 · SEC 801-112362 · 10 filingsShow
CRD 291724SEC 801-112362First filing on the tape Dec 22, 2017, latest Mar 19, 2024SEC status approved since Jan 19, 2018IAPD
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Mar 19, 2024
Feb 20, 2019$0 then
HNW client RAUM$0 as of Mar 30, 2022
Mar 27, 2020$0 then
State-registered IARs (5.B.3)1 as of Mar 19, 2024
Feb 20, 20191 then
Employees (5.A)3 as of Mar 19, 2024
Feb 20, 20193 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2024; 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
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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)
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
n/areported
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
fixedreported
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
      • W••••••••• J••••• S•••••••• O••• · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      • A••••• G••• J••••••••• · Shareholder, Common Stockcontrol
        since 06/2017 · owns 25% to 50% of C••••••
      • W••••••••• J••••• S•••••••• O••• · Shareholder, Common Stockcontrol
        since 06/2017 · owns 25% to 50% of C••••••
      Entity owners
      • C•••••• · Member
        direct · owns 75% or more
      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 · 1 to 0
        Mar 30, 2022 to Mar 30, 2023
      • Charity clients · 0.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • Corporate clients · 0.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • HNW clients · 0.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • Individual clients · 1.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • Pension plan clients · 0.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • Discretionary RAUM · $18,694 to $0
        Mar 30, 2022 to Mar 30, 2023
      • HNW RAUM · 0.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • Individual RAUM · 18694.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • Pension RAUM · 0.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · 0.0 to unset
        Mar 30, 2022 to Mar 30, 2023
      • RAUM · $18,694 to $0
        Mar 30, 2022 to Mar 30, 2023
      • Accounts · 2 to 1
        Aug 2, 2021 to Mar 30, 2022
      • Individual clients · 2 to 1
        Aug 2, 2021 to Mar 30, 2022
      • Discretionary RAUM · $242,315 to $18,694
        Aug 2, 2021 to Mar 30, 2022
      • Individual RAUM · $242,315 to $18,694
        Aug 2, 2021 to Mar 30, 2022
      • RAUM · $242,315 to $18,694
        Aug 2, 2021 to Mar 30, 2022
      • Discretionary RAUM · $187,561 to $242,315
        Mar 27, 2020 to Mar 31, 2021
      • Individual RAUM · $187,561 to $242,315
        Mar 27, 2020 to Mar 31, 2021
      • RAUM · $187,561 to $242,315
        Mar 27, 2020 to Mar 31, 2021
      • Accounts · 0 to 2
        Feb 20, 2019 to Mar 27, 2020
      • Charity clients · unset to 0.0
        Feb 20, 2019 to Mar 27, 2020
      • Corporate clients · unset to 0.0
        Feb 20, 2019 to Mar 27, 2020
      • HNW clients · unset to 0.0
        Feb 20, 2019 to Mar 27, 2020
      • Individual clients · unset to 2.0
        Feb 20, 2019 to Mar 27, 2020
      • Pension plan clients · unset to 0.0
        Feb 20, 2019 to Mar 27, 2020
      • Discretionary RAUM · $0 to $187,561
        Feb 20, 2019 to Mar 27, 2020
      • HNW RAUM · unset to 0.0
        Feb 20, 2019 to Mar 27, 2020
      • Individual RAUM · unset to 187561.0
        Feb 20, 2019 to Mar 27, 2020
      • Pension RAUM · unset to 0.0
        Feb 20, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Feb 20, 2019 to Mar 27, 2020
      • RAUM · $0 to $187,561
        Feb 20, 2019 to Mar 27, 2020
      • Related adviser · true to false
        Oct 18, 2018 to Feb 20, 2019
      • HQ city · PALO ALTO to SAN FRANCISCO
        Dec 22, 2017 to Oct 18, 2018
      Signals
      2 dated events
      • ••• Locked
        Mar 6, 2025 · Left the SEC roster · derived
      • ••• Locked
        Dec 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