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

C••••••• S•••••• H•••••• I• A••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 301584SEC 801-116742IAPD
Latest filing Mar 29, 2022
First filing on the tape May 6, 2019 · 7 filings
RAUM
$260M
reported, Item 5.F
Discretionary
0.0%
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
26
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$525M gross assets
History
7 filings and snapshots on the tape
RAUM$260M as of Mar 29, 2022
Mar 30, 2020$226M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 30, 20200 then
Employees (5.A)26 as of Mar 29, 2022
Mar 30, 202012 then
Private funds5 as of Mar 29, 2022
Mar 30, 20205 then
RAUM +33% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
$37.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+33%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-based, 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
  • 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$260M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• S•••••• H•••••• I• R••• I••••••• L•Real Estate Fund$193M6Mar 30, 2020
      C••••••• S•••••• H•••••• I• R••• L••Real Estate Fund$193M131Mar 30, 2020
      C••••••• S•••••• H•••••• I• L•no longer reportedReal Estate Fund$140M7May 6, 2019
      C•• I• C•• J• L•Real Estate Fund$107M2May 6, 2019
      C••••••• S•••••• H•••••• I•• L•Real Estate Fund$30.2M3Mar 30, 2020
      C••••••• S•••••• H•••••• I• G• L••Real Estate Fund$2.7M14Mar 30, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • D• W••••• D•• · Ownercontrol
        since 01/2017 · owns 25% to 50%
      • F••••• J••••• E••• · Chief Investment Officer/ Chief Executive Officercontrol
        since 01/2019 · owns 25% to 50%
      • L••••• J•••• · Chief Financial Officercontrol
        since 01/2019 · owns 25% to 50%
      • O••••••• A••• · Chief Operating Officercontrol
        since 01/2018 · owns less than 5%
      • O••••••• A••• · Shareholdercontrol
        since 01/2018 · owns 75% or more of O•••••• C••••••• H••••••• 9•• L••
      • O••••••• J••• · Chief Compliance Officer
        since 03/2019 · owns less than 5%
      Entity owners
      • O•••••• C••••••• H••••••• 9•• L•• · Shareholder
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • C••••••• G•••• A••••••••• L••
        pooled vehicle sponsorn
      • C••••••• S•••••• H•••••• I• G• L••
        pooled vehicle sponsorn
      • C• C••• M••••• L••
        pooled vehicle sponsorn
      • P•••• P••• S••••• C•••••• I•••••••• C••••••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      • San Carlos, CA1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 14 to 10
        Mar 30, 2021 to Mar 29, 2022
      • Employees · 24 to 26
        Mar 30, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $195M to $260M
        Mar 30, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $195M to $260M
        Mar 30, 2021 to Mar 29, 2022
      • RAUM · $195M to $260M
        Mar 30, 2021 to Mar 29, 2022
      • Advisory employees · 9 to 14
        Jun 3, 2020 to Mar 30, 2021
      • Employees · 12 to 24
        Jun 3, 2020 to Mar 30, 2021
      • Financial planning clients · 0 to unset
        Jun 3, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $226M to $195M
        Jun 3, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $226M to $195M
        Jun 3, 2020 to Mar 30, 2021
      • RAUM · $226M to $195M
        Jun 3, 2020 to Mar 30, 2021
      • Accounts · 2 to 7
        Jan 7, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 7
        Jan 7, 2020 to Mar 30, 2020
      • Assets in custody · 937000.0 to unset
        Jan 7, 2020 to Mar 30, 2020
      • Custody of client assets · true to false
        Jan 7, 2020 to Mar 30, 2020
      • Private funds · 2 to 5
        Jan 7, 2020 to Mar 30, 2020
      • Non-discretionary RAUM · $208M to $226M
        Jan 7, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $208M to $226M
        Jan 7, 2020 to Mar 30, 2020
      • RAUM · $208M to $226M
        Jan 7, 2020 to Mar 30, 2020
      Signals
      1 dated events
      • C••••••• S•••••• H•••••• I• A••••••• L•• filed its initial SEC registration (Form ADV)
        May 6, 2019 · 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.
      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

      C••••••• S•••••• H•••••• I• A••••••• L•• 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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