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.

T•••• F•••• A•••• M•••••••••

No RAUM reportedSEC-registered· San Francisco, Californiawebsite

No RAUM reported, based in San Francisco, California.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
Not established
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 306765 · SEC 801-118043 · 11 filingsShow
CRD 306765SEC 801-118043Legal name T•••• F•••• A•••• M••••••••• L••First filing on the tape Jan 8, 2020, latest Mar 30, 2026SEC status approved since Feb 7, 2020IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2026
Mar 25, 2021$29.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 25, 20210 then
Employees (5.A)2 as of Mar 30, 2026
Mar 25, 20212 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• C••••••••• J••• · Founder And Partnercontrol
        since 11/2019 · owns 25% to 50%
      • L••••• J••• P••• · Founder, Partner, And Chief Compliance Officercontrol
        since 11/2019 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 0
        Feb 29, 2024 to Mar 24, 2025
      • Financial planning clients · unset to
        Feb 29, 2024 to Mar 24, 2025
      • Discretionary RAUM · $22.4M to $0
        Feb 29, 2024 to Mar 24, 2025
      • RAUM · $22.4M to $0
        Feb 29, 2024 to Mar 24, 2025
      • Discretionary RAUM · $26.5M to $22.4M
        Jan 24, 2023 to Feb 29, 2024
      • RAUM · $26.5M to $22.4M
        Jan 24, 2023 to Feb 29, 2024
      • Discretionary RAUM · $41.8M to $26.5M
        Mar 15, 2022 to Jan 24, 2023
      • RAUM · $41.8M to $26.5M
        Mar 15, 2022 to Jan 24, 2023
      • Discretionary RAUM · $29.7M to $41.8M
        Nov 17, 2021 to Mar 15, 2022
      • RAUM · $29.7M to $41.8M
        Nov 17, 2021 to Mar 15, 2022
      • Accounts · 2 to 1
        Jul 7, 2020 to Mar 25, 2021
      • Discretionary RAUM · $27.0M to $29.7M
        Jul 7, 2020 to Mar 25, 2021
      • Non-discretionary RAUM · $30.0M to $0
        Jul 7, 2020 to Mar 25, 2021
      • RAUM · $57.0M to $29.7M
        Jul 7, 2020 to Mar 25, 2021
      • Accounts · 0 to 2
        Jun 2, 2020 to Jul 7, 2020
      • Advisory activities · 3 to 2
        Jun 2, 2020 to Jul 7, 2020
      • Discretionary RAUM · $0 to $27.0M
        Jun 2, 2020 to Jul 7, 2020
      • Non-discretionary RAUM · $0 to $30.0M
        Jun 2, 2020 to Jul 7, 2020
      • RAUM · $0 to $57.0M
        Jun 2, 2020 to Jul 7, 2020
      • Advisory activities · 2 to 3
        Feb 4, 2020 to Jun 2, 2020
      Signals
      5 dated events
      • ••• Locked
        Mar 30, 2026 · ria ownership band change · fact
      • ••• Locked
        Mar 30, 2026 · ria ownership band change · fact
      • ••• Locked
        Nov 17, 2021 · Control person left · inference
      • ••• Locked
        Mar 25, 2021 · Control person joined · fact
      • ••• Locked
        Jan 8, 2020 · 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
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
      No RAUM reportedderiveda 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