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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SEC-registered adviser
S•••• F••• P••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 29, 2020 · 8 filings
SEC status approved since Jul 29, 2020
RAUM
$138M
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
3
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$138M as of Mar 26, 2026
Mar 29, 2021$250M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 29, 20210 then
Employees (5.A)1 as of Mar 26, 2026
Mar 29, 20211 then
Private funds3 as of Mar 26, 2026
Mar 29, 20213 then
RAUM +0.9% over the last fiscal year-8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $45.9MderivedRAUM 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
- +0.9%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, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$138M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••• I• • S••••••• L• ••••• T•••• I• • S••••••• L•• | Other Private Fund | $109M | 2 | Mar 30, 2012 |
| H••••••• L• ••••• H••••••••• L•• | Other Private Fund | $29.4M | 1 | Mar 30, 2012 |
| V•••• I•• L• ••••• T••••• W••••• G••••• G••••• P••••••• I•• L•• | Other Private Fund | $15.9M | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- W••••••• B•••••• C• · Managing Partner And Chief Compliance Officercontrolsince 07/2018 · owns 75% or more
Related persons
Schedule D 7.A
- S•••• F••• G••••• G••••• P••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $136M to $138MMar 12, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $136M to $138MMar 12, 2025 to Mar 26, 2026
- RAUM · $136M to $138MMar 12, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 8, 2024 to Mar 12, 2025
- Discretionary RAUM · $154M to $136MMar 8, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $154M to $136MMar 8, 2024 to Mar 12, 2025
- RAUM · $154M to $136MMar 8, 2024 to Mar 12, 2025
- HQ city · unset to PALO ALTOMar 24, 2023 to Mar 8, 2024
- HQ state · unset to CAMar 24, 2023 to Mar 8, 2024
- Discretionary RAUM · $180M to $154MMar 24, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $180M to $154MMar 24, 2023 to Mar 8, 2024
- RAUM · $180M to $154MMar 24, 2023 to Mar 8, 2024
- HQ city · MENLO PARK to unsetSep 28, 2022 to Mar 24, 2023
- HQ state · CA to unsetSep 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $272M to $180MSep 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $272M to $180MSep 28, 2022 to Mar 24, 2023
- RAUM · $272M to $180MSep 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $250M to $272MMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $250M to $272MMar 29, 2021 to Mar 30, 2022
- RAUM · $250M to $272MMar 29, 2021 to Mar 30, 2022
- Private funds · 6 to 3Jun 29, 2020 to Mar 29, 2021
- Discretionary RAUM · $218M to $250MJun 29, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $218M to $250MJun 29, 2020 to Mar 29, 2021
- RAUM · $218M to $250MJun 29, 2020 to Mar 29, 2021
Signals
1 dated events
- S•••• F••• P••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• F••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••• F••• P••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 415-265-5551reportedpublic record, Form ADV, Mar 26, 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