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

3• E••••• P•••••••• L••

Former SEC-registered adviserCRD 297460SEC 801-113623IAPD
Latest filing May 15, 2020
First filing on the tape Jun 15, 2018 · 7 filings
RAUM
$159M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$159M gross assets
History
7 filings and snapshots on the tape
RAUM$159M as of May 15, 2020
Apr 2, 2019$149M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 15, 2020
Apr 2, 20190 then
Employees (5.A)3 as of May 15, 2020
Apr 2, 20194 then
Private funds2 as of May 15, 2020
Apr 2, 20192 then
RAUM +6.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 15, 2020; 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
$52.8MderivedRAUM 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
+6.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$148M94%
  • Corporations and businesses$10.1M6.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A• V•••••••• L••Private Equity Fund$130M1Jun 15, 2018
      A• V•••••••• L••Private Equity Fund$28.5M1Jun 15, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••••• L•••••• N•• · Managing Partnercontrol
        since 09/2012 · owns 75% or more
      • F••••••• M••••••• A• · Principal
        since 09/2015 · owns 25% to 50%
      • P••••••• V••••••• Y••••• · Chief Compliance Officer
        since 01/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • U•••• H•••••• L••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        May 7, 2019 to May 15, 2020
      • Advisory activities · 1 to 2
        May 7, 2019 to May 15, 2020
      • Employees · 4 to 3
        May 7, 2019 to May 15, 2020
      • HQ city · SAN JOSE to unset
        May 7, 2019 to May 15, 2020
      • HQ state · CA to unset
        May 7, 2019 to May 15, 2020
      • Discretionary RAUM · $149M to $159M
        May 7, 2019 to May 15, 2020
      • Pooled vehicle RAUM · $139M to $148M
        May 7, 2019 to May 15, 2020
      • RAUM · $149M to $159M
        May 7, 2019 to May 15, 2020
      • Accounts · 4 to 3
        Jan 8, 2019 to Apr 2, 2019
      • Assets in custody · 217800000.0 to unset
        Jan 8, 2019 to Apr 2, 2019
      • Custody of client assets · true to false
        Jan 8, 2019 to Apr 2, 2019
      • Discretionary RAUM · $218M to $149M
        Jan 8, 2019 to Apr 2, 2019
      • Pooled vehicle RAUM · $159M to $139M
        Jan 8, 2019 to Apr 2, 2019
      • RAUM · $218M to $149M
        Jan 8, 2019 to Apr 2, 2019
      Signals
      1 dated events
      • 3• E••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 15, 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