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
D•••• C•••••• M••••••••• S•••••• V••••• I•••
Latest filing Jun 29, 2026
First filing on the tape Aug 29, 2023 · 7 filings
SEC status approved since Oct 25, 2023
RAUM
$376M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$376M as of Jun 29, 2026
Jun 25, 2024$281M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jun 25, 20240 then
Employees (5.A)2 as of Jun 29, 2026
Jun 25, 20242 then
Private funds2 as of Apr 28, 2025
Jun 25, 20242 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 29, 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
- $188MderivedRAUM 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-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
- 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)
- 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$376M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- 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=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• S•••••••• P••••••• I•• L••• | Venture Capital Fund | $186M | 10 | Jun 2, 2022 |
| W•• S•••••••• P••••••• I• L••• | Venture Capital Fund | $94.2M | 6 | Mar 10, 2020 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• R••••• N•• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- S•••••••• S•••••• N•• · Presidentcontrolsince 08/2021 · owns less than 5%
Entity owners
- D•••• A•••• M••••••••• C•• L••• · Share Holderdirect · owns 75% or more
- D•••• S••••••••• G•••• I••• · Share Holderindirect · owns 75% or more of D•••• A•••• M••••••••• C•• L••• · public reporting company
- J•••• P••• I•••••••• C••• L••• · Share Holderindirect · owns F of D•••• A•••• M••••••••• C•• L••• · public reporting company
Related persons
Schedule D 7.A
- D•••• S••••••••• C•• L•••broker-dealern
- W•••• I• G•• L•••pooled vehicle sponsorn
- W•••• I• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 3 to 2Jun 30, 2025 to Jun 29, 2026
- Discretionary RAUM · $292M to $376MJun 30, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $292M to $376MJun 30, 2025 to Jun 29, 2026
- RAUM · $292M to $376MJun 30, 2025 to Jun 29, 2026
- Assets in custody · 0.0 to unsetApr 28, 2025 to Jun 30, 2025
- Employees · 2 to 3Apr 28, 2025 to Jun 30, 2025
- Financial planning clients · unset to Apr 28, 2025 to Jun 30, 2025
- Private funds · 2 to unsetApr 28, 2025 to Jun 30, 2025
- Discretionary RAUM · $281M to $292MApr 28, 2025 to Jun 30, 2025
- Pooled vehicle RAUM · $281M to $292MApr 28, 2025 to Jun 30, 2025
- RAUM · $281M to $292MApr 28, 2025 to Jun 30, 2025
- Related adviser · false to trueApr 28, 2025 to Jun 30, 2025
- Discretionary RAUM · $188M to $281MDec 1, 2023 to Jun 25, 2024
- Pooled vehicle RAUM · $188M to $281MDec 1, 2023 to Jun 25, 2024
- RAUM · $188M to $281MDec 1, 2023 to Jun 25, 2024
- Private funds · 4 to 2Aug 29, 2023 to Dec 1, 2023
Signals
1 dated events
- D•••• C•••••• M••••••••• S•••••• V••••• I••• filed its initial SEC registration (Form ADV)Aug 29, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••• C•••••• M••••••••• S•••••• V••••• I••• · Private Equityshared crd · organization
- D•••• C•••••• M••••••••• S•••••• V••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 650-470-9596reportedpublic record, Form ADV, Jun 29, 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