DFX Intelligence

A••• C•••••• M••••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserMixed wealth managerSEC registeredRAUM 100m 1b

A••• C•••••• M••••••••• L•

CRD 323353

SAN FRANCISCO, CA

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 12
On other graphs: 0
Observed: Jan 18, 2024 to Mar 31, 2026
8 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: mixed wealth managerderivedprivate_client_share=0.41 fund_share=0.22 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $335M••• Locked
Discretionary RAUM: $140M
Private client RAUM: $139Mderived••• Locked
Private client share: 41%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $335Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• A••••• A•••• W••••	n/a	SAN FRANCISCO, CA	1	11	1	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• T••• T••••	Hedge Fund	$67.0M	Mar 31, 2026	1	Mar 31, 2026	reported	n/a
P••••• L•••••• L••	Hedge Fund	$65.4M	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• C•••••• M••••••••• L••	GENERAL PARTNER	D	yes	11/2022	Jan 18, 2024	Jan 29, 2024
K••• M••••••• L••••	MANAGING DIRECTOR	A	yes	11/2022	Jan 18, 2024	Jan 29, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

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	$335M	$701M	-52.2%	n/a	n/a	40	44	0	0

Relationships

Advises (5)

→ P••••• L•••••• L••Private fundHedge Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ A••• T••• T••••Private fundHedge Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ A••• D•••••• I••••• M••••• F••• S••• L••• • S••••••••• P•••••••• A•Private fundHedge Fund, IA, no longer reported
Dec 6, 2022 to Jan 29, 2024factForm ADV
→ A••• D•••••• I••••• M••••• F••• S••• L••• • S••••••••• P•••••••• B•

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
31 Mar 2026
Private fund first reported2 events
Private fund first reported: 2 on 31 Mar 2026
$65.4M to $67.0M
- ••• Locked$67.0M
- ••• Locked$65.4M
Occurred
31 Mar 2026
Ria principal change2 events
A••• C•••••• M••••••••• L•: ria principal change, 2 events, on 31 Mar 2026
- ••• Locked
- ••• Locked
Occurred
31 Mar 2026
Ria indirect owner change
••• Locked
Form ADV
Occurred
31 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
down $366M
Occurred
31 Mar 2026
Private fund no longer reported
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 18, 2024
Last observed: Mar 31, 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.