DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•• I•••••••• L•

CRD 171505

MENLO PARK, CA

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Search this name across graphsid dfx:ria:9e6c478d-1ef1-0902-d8db-48be776726f5

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 10
On other graphs: 1
Observed: Jun 8, 2016 to Mar 26, 2024
21 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

S•• I•••••••• L•

Venture manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $279M••• Locked
Discretionary RAUM: $279M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• I•••••••• M••••• F••• L•	Hedge Fund	$39.2M	Oct 24, 2024	107	Aug 28, 2014	reported	021-217126
S•• S•••••• O••••••••• F••• 2• L•	Other Private Fund	$26.4M	Oct 24, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• A••••• ••••	CHIEF INVESTMENT OFFICER	E	yes	04/2014	Jun 8, 2016	Mar 26, 2024
M••••• A••••• ••••	Manager	E	yes	01/2014	Jun 8, 2016	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$279M	$468M	-40.4%	$2.0B	-47.8%	6	11	0	0

Relationships

Advises (3)

→ S•• S•••••• O••••••••• F••• 2• L•Private fundOther Private Fund, ERA
Feb 23, 2022 to presentfactForm ADV
→ S•• S•••••• O••••••••• F••• 3• L•Private fundOther Private Fund, ERA
Nov 14, 2023 to presentfactForm ADV
→ S•• I•••••••• M••••• F••• L•Private fundHedge Fund, ERA
Aug 28, 2014 to presentfactForm ADV

Owns (3)

Dated events

Occurred
Mar 26, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-215M
Occurred
Oct 10, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-1.3B
Occurred
Mar 31, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e6c478d-1ef1-0902-d8db-48be776726f5
First observed: Jun 8, 2016
Last observed: Mar 26, 2024 30 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.