DFX Intelligence

O••• D••• I••••••••• M••••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

O••• D••• I••••••••• M••••••••• L•••

CRD 159123

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:306dd113-a665-728e-3c21-ba9f90c5510b

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 10
On other graphs: 0
Observed: Mar 14, 2012 to Mar 27, 2026
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $183M••• Locked
Discretionary RAUM: $183M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• C•••• •• S•••• F••• L••••••	Hedge Fund	$118M	Sep 6, 2024	61	Feb 3, 2012	reported	n/a
T•• C•••• A••••••• F••• L••••••	Hedge Fund	$50.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• V••••••••	Director	Na	yes	07/2022	Aug 11, 2022	Sep 6, 2024
K•• S••••••	SOLE S••••HOLDER	E	yes	07/2011	Mar 14, 2012	Sep 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••• ••• L•••	n/a	n/a	n/a	N	yes	n/a
S••••••• H•••••••• P•••••• F••• M••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
PUDONG S•••••••	n/a	China	9	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$183M	$152M	20.5%	$282M	-13.4%	17	17	1	1

Relationships

Advises (9)

→ T•• C•••• •• S•••• F••• L••••••Private fundHedge Fund, IA
Feb 3, 2012 to presentfactForm ADV
→ O••• D••• G•••••• C•••• M••••• F••• L••••••Private fundHedge Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ O••• D••• C•••• H••••••••• F•••Private fundHedge Fund, IA, no longer reported
Apr 11, 2018 to Mar 28, 2023factForm ADV
→ O••• D••• S•••• P•••••

Dated events

Occurred
Sep 3, 2024
Control person left
John Darragh Murphy (Director) no longer on Schedule A of O••• D••• I••••••••• M••••••••• L••• (listed 2024-03-28, absent 2024-09-03)
Form ADVobserved 7 days ago
Occurred
Sep 3, 2024
Control person joined
Yeo Yen W••• (Director) appeared on Schedule A of O••• D••• I••••••••• M••••••••• L•••
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed
O••• D••• I••••••••• M••••••••• L••• reported RAUM $145.3M, down 48% from $281.9M (2023-03-28 to 2024-03-28)
Form ADVobserved 7 days ago
$-137M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:306dd113-a665-728e-3c21-ba9f90c5510b
First observed: Mar 14, 2012
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.