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RIA Intelligence

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Former SEC-registered adviser

R••••••• C•••••• A•••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 296902SEC 801-113957IAPD
Latest filing Mar 10, 2021
First filing on the tape Aug 8, 2018 · 12 filings
RAUM
$1.7B
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
$1.7B gross assets
History
12 filings and snapshots on the tape
RAUM$1.7B as of Mar 10, 2021
Mar 26, 2019$202M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2021
Mar 26, 20190 then
Employees (5.A)0 as of Mar 10, 2021
Mar 26, 20190 then
Private funds16 as of Mar 10, 2021
Mar 26, 20196 then
RAUM +466% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2021; 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
$107MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+466%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, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.7B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• I• M••••• F•••• L••Real Estate Fund$750M3Mar 10, 2021
      C••••• E••••• H••••••• I• R•• F•••• L••Other Private Fund$200M1Mar 10, 2021
      C••••• E••••• H••••••• I• F•••• L••Other Private Fund$200M98Mar 10, 2021
      C••••• E••••• H••••••• I• A••••• F•••Other Private Fund$200M1Mar 10, 2021
      S•• V••• M••••• F•••• L••Private Equity Fund$100M3Oct 5, 2019
      C••••• E••••• H••••••• I•• L••Other Private Fund$75.0M1Jan 4, 2019
      L••••• E••••• I• L••Other Private Fund$55.0M1Jan 4, 2019
      L••••• E••••• L••Other Private Fund$55.0M1Jan 4, 2019
      S•••••••• E••••• A••••• V••• L••Other Private Fund$32.0M154Jan 4, 2019
      C••••• E••••• H••••••• I•• L••Other Private Fund$27.5M1Jan 4, 2019
      A•••••••• L•••••• F•••• L••Real Estate Fund$9.1M1Jan 4, 2019
      A•••••••• C•••••• H••••••• I•• L••Real Estate Fund$5.0M38Mar 10, 2021
      S•••••••• E••••• A••••• V•• L••Other Private Fund$4.3M54Mar 10, 2021
      A•••••••• C•••••• H••••••• I••• L••Real Estate Fund$4.0M17Mar 10, 2021
      S•••••••• E••••• A••••• I•• L••Other Private Fund$4.0M49Mar 10, 2021
      S•••••••• E••••• A••••• V• L••Other Private Fund$4.0M46Mar 10, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• J••••••••• D••••• · Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      Entity owners
      • R••••••• M••••••••• S•••••••• L•• · Current Non-Member Manager
        direct · owns less than 5%
      • T•••••• H•••••• C••••••• L•• · Owner
        direct · owns 75% or more
      • T•••••• H••••••• T•••• · Sole Member Of T•••••• H•••••• C••••••• L••
        indirect · owns 75% or more of T•••••• H•••••• C••••••• L••
      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 · 7 to 16
        Mar 20, 2020 to Mar 10, 2021
      • Pooled vehicle clients · 7 to 16
        Mar 20, 2020 to Mar 10, 2021
      • Private funds · 7 to 16
        Mar 20, 2020 to Mar 10, 2021
      • Discretionary RAUM · $354M to $1.7B
        Mar 20, 2020 to Mar 10, 2021
      • Pooled vehicle RAUM · $354M to $1.7B
        Mar 20, 2020 to Mar 10, 2021
      • RAUM · $354M to $1.7B
        Mar 20, 2020 to Mar 10, 2021
      • Discretionary RAUM · $352M to $354M
        Feb 26, 2020 to Mar 20, 2020
      • Pooled vehicle RAUM · $352M to $354M
        Feb 26, 2020 to Mar 20, 2020
      • RAUM · $352M to $354M
        Feb 26, 2020 to Mar 20, 2020
      • Discretionary RAUM · $377M to $352M
        Feb 19, 2020 to Feb 26, 2020
      • Pooled vehicle RAUM · $377M to $352M
        Feb 19, 2020 to Feb 26, 2020
      • RAUM · $377M to $352M
        Feb 19, 2020 to Feb 26, 2020
      • Discretionary RAUM · $302M to $377M
        Jan 23, 2020 to Feb 19, 2020
      • Pooled vehicle RAUM · $302M to $377M
        Jan 23, 2020 to Feb 19, 2020
      • RAUM · $302M to $377M
        Jan 23, 2020 to Feb 19, 2020
      • Employees · 2 to 0
        Dec 2, 2019 to Dec 26, 2019
      • Employees · 0 to 2
        Oct 5, 2019 to Dec 2, 2019
      • Accounts · 6 to 7
        Mar 26, 2019 to Oct 5, 2019
      • Pooled vehicle clients · 6 to 7
        Mar 26, 2019 to Oct 5, 2019
      • Private funds · 6 to 7
        Mar 26, 2019 to Oct 5, 2019
      • Discretionary RAUM · $202M to $302M
        Mar 26, 2019 to Oct 5, 2019
      • Pooled vehicle RAUM · $202M to $302M
        Mar 26, 2019 to Oct 5, 2019
      • RAUM · $202M to $302M
        Mar 26, 2019 to Oct 5, 2019
      • Accounts · unset to 6.0
        Oct 17, 2018 to Jan 4, 2019
      • Pooled vehicle clients · unset to 6.0
        Oct 17, 2018 to Jan 4, 2019
      • Private funds · unset to 6
        Oct 17, 2018 to Jan 4, 2019
      • Discretionary RAUM · unset to 201550000.0
        Oct 17, 2018 to Jan 4, 2019
      • Non-discretionary RAUM · unset to 0.0
        Oct 17, 2018 to Jan 4, 2019
      • Pooled vehicle RAUM · unset to 201550000.0
        Oct 17, 2018 to Jan 4, 2019
      • RAUM · unset to 201550000.0
        Oct 17, 2018 to Jan 4, 2019
      Signals
      5 dated events
      • Joseph Thomas Powell (Chief Executive Officer/Manager) no longer on Schedule A of R••••••• C•••••• A••••••• (listed 2020-03-20, absent 2021-03-10)
        Mar 10, 2021 · Control person left · inference
      • R••••••• C•••••• A••••••• reported RAUM $1.7B, up 383% from $353.6M (2020-03-20 to 2021-03-10)
        Mar 10, 2021 · RAUM change · derived
      • R••••••• C•••••• A••••••• reported RAUM $301.6M, up 50% from $201.6M (2019-03-26 to 2019-10-05)
        Oct 5, 2019 · RAUM change · derived
      • Trieb Marcy Olson (Manager) no longer on Schedule A of R••••••• C•••••• A••••••• (listed 2019-03-26, absent 2019-10-05)
        Oct 5, 2019 · Control person left · inference
      • R••••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)
        Aug 8, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      R••••••• C•••••• A••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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