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.

Former SEC-registered adviser

A•••••••• F•••• I•••

Former SEC-registered adviserCorte Madera, CaliforniaCRD 318658SEC 801-123633IAPD
Latest filing Mar 3, 2023
First filing on the tape Mar 7, 2022 · 3 filings
RAUM
$23.6M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$23.6M as of Mar 3, 2023
Mar 7, 2022$0 then
HNW client RAUM$0 as of Mar 3, 2023
Mar 7, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 3, 2023
Mar 7, 20220 then
Employees (5.A)6 as of Mar 3, 2023
Mar 7, 20221 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 3, 2023; 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
$7.9MderivedRAUM 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
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 companiesreportedItem 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
  • Investment companies$23.6M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• B••••• I•••• · Managing Membercontrol
        since 11/2021 · owns 10% to 25%
      • A••••••••• A•••• J••• · Chief Compliance Officer
        since 01/2022 · owns less than 5%
      Entity owners
      • A•••••••• I••• · Owner
        direct · owns 50% to 75%
      • A•••••••• V••••••• F••• I• L• · Owner
        indirect · owns 25% to 50% of A•••••••• I•••
      • L• A••••• L•• · Owner
        direct · owns 10% to 25%
      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 · 0 to 3
        Jun 6, 2022 to Mar 3, 2023
      • Employees · 2 to 6
        Jun 6, 2022 to Mar 3, 2023
      • Financial planning clients · unset to 0
        Jun 6, 2022 to Mar 3, 2023
      • Discretionary RAUM · $0 to $23.6M
        Jun 6, 2022 to Mar 3, 2023
      • RAUM · $0 to $23.6M
        Jun 6, 2022 to Mar 3, 2023
      • Advisory employees · 1 to 2
        Mar 7, 2022 to Jun 6, 2022
      • Employees · 1 to 2
        Mar 7, 2022 to Jun 6, 2022
      Signals
      1 dated events
      • A•••••••• F•••• I••• filed its initial SEC registration (Form ADV)
        Mar 7, 2022 · 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