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.

SEC-registered adviser

M•••••• P•••• P••••••• L••

Asset manager (funds and pooled vehicles)Oakland, CaliforniaCRD 298680SEC 801-136317IAPD
Latest filing Apr 22, 2026
First filing on the tape Oct 10, 2018 · 3 filings
SEC status approved since May 21, 2026
RAUM
$636M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$636M as of Apr 22, 2026
Jan 17, 2019$50.0M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Apr 22, 2026
Jan 17, 20190 then
Employees (5.A)4 as of Apr 22, 2026
Jan 17, 20193 then
Private funds2 as of Apr 22, 2026
Jan 17, 20191 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 22, 2026; 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
$106MderivedRAUM 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
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$217M, 4 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$348M55%
  • Investment companies$288M45%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$217M for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• M•••••• P•••• C•••••••• M••••• F•••Other Private Fund$59.2M1Oct 10, 2018
      M•••••• P•••• C•••••••• F••• L•Other Private Fund$55.2M4Mar 29, 2023
      M•• O••••••••• L••••••Other Private Fund$100,0003Mar 29, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••••• · Managing Partner And Chief Compliance Officercontrol
        since 07/2017 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 6
        Jan 17, 2019 to Apr 22, 2026
      • HNW clients · 0.0 to unset
        Jan 17, 2019 to Apr 22, 2026
      • Pooled vehicle clients · 1 to 5
        Jan 17, 2019 to Apr 22, 2026
      • Assets in custody · $50.0M to $217M
        Jan 17, 2019 to Apr 22, 2026
      • Employees · 3 to 4
        Jan 17, 2019 to Apr 22, 2026
      • Financial planning clients · unset to
        Jan 17, 2019 to Apr 22, 2026
      • Private funds · 1 to 2
        Jan 17, 2019 to Apr 22, 2026
      • Discretionary RAUM · $50.0M to $636M
        Jan 17, 2019 to Apr 22, 2026
      • HNW RAUM · 0.0 to unset
        Jan 17, 2019 to Apr 22, 2026
      • Pooled vehicle RAUM · $50.0M to $348M
        Jan 17, 2019 to Apr 22, 2026
      • RAUM · $50.0M to $636M
        Jan 17, 2019 to Apr 22, 2026
      • Related adviser · true to false
        Jan 17, 2019 to Apr 22, 2026
      • Accounts · 0 to 1
        Oct 10, 2018 to Jan 17, 2019
      • Advisory employees · 2 to 3
        Oct 10, 2018 to Jan 17, 2019
      • Pooled vehicle clients · 0 to 1
        Oct 10, 2018 to Jan 17, 2019
      • Assets in custody · $0 to $50.0M
        Oct 10, 2018 to Jan 17, 2019
      • Employees · 2 to 3
        Oct 10, 2018 to Jan 17, 2019
      • Discretionary RAUM · $0 to $50.0M
        Oct 10, 2018 to Jan 17, 2019
      • Pooled vehicle RAUM · $0 to $50.0M
        Oct 10, 2018 to Jan 17, 2019
      • RAUM · $0 to $50.0M
        Oct 10, 2018 to Jan 17, 2019
      Signals
      2 dated events
      • M•••••• P•••• P••••••• L•• reported RAUM $636.1M, up 1172% from $50.0M (2019-01-17 to 2026-04-22)
        Apr 22, 2026 · RAUM change · derived
      • M•••••• P•••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 10, 2018 · 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      (510) 244-0170reportedpublic record, Form ADV, Apr 22, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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