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

P•••••• E••••• M••••••••• I•••

Former SEC-registered adviserSan Rafael, CaliforniaCRD 298193SEC 801-114092IAPD
Latest filing Apr 5, 2022
First filing on the tape Sep 5, 2018 · 9 filings
RAUM
$5.3M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$5.3M gross assets
History
9 filings and snapshots on the tape
RAUM$5.3M as of Feb 9, 2022
Mar 27, 2019$4.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 9, 2022
Mar 27, 20191 then
Employees (5.A)1 as of Feb 9, 2022
Mar 27, 20191 then
Private funds1 as of Feb 9, 2022
Mar 27, 20191 then
RAUM +33% over the last fiscal year+9.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 5, 2022; every figure names its basis
RAUM per advisor
$5.3MderivedRAUM 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
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+33%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
percentage of assets, performance-basedreportedItem 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
  • 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)
  • 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$5.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• N•• F•••• L••Private Equity Fund$5.3M38Mar 27, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• J••••••• J••• · Sole Shareholder, President, And Ceocontrol
        since 08/1998 · owns 75% or more
      • M••••• J••••• R•••••• · Chief Compliance Officer
        since 08/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $4.0M to $5.3M
        Jan 20, 2022 to Feb 9, 2022
      • Pooled vehicle RAUM · $4.0M to $5.3M
        Jan 20, 2022 to Feb 9, 2022
      • RAUM · $4.0M to $5.3M
        Jan 20, 2022 to Feb 9, 2022
      • Other offices · 1 to 0
        Mar 27, 2019 to Feb 24, 2020
      • Accounts · unset to 1.0
        Sep 5, 2018 to Mar 27, 2019
      • Pooled vehicle clients · unset to 1.0
        Sep 5, 2018 to Mar 27, 2019
      • Private funds · unset to 1
        Sep 5, 2018 to Mar 27, 2019
      • Discretionary RAUM · unset to 4000000.0
        Sep 5, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · unset to 0.0
        Sep 5, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · unset to 4000000.0
        Sep 5, 2018 to Mar 27, 2019
      • RAUM · unset to 4000000.0
        Sep 5, 2018 to Mar 27, 2019
      Signals
      1 dated events
      • P•••••• E••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Sep 5, 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