DFX Intelligence
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A••••• G••••• A•••• M••••••••• L••
Asset manager (funds and pooled vehicles)SEC-registered2 private funds· San Francisco, Californiawebsite
Asset manager (funds and pooled vehicles), based in San Francisco, California, reporting $554M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $554M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +25%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $444MRAUM now $554M
- Contact points 2
Every filed figure, and the identifiersCRD 107785 · SEC 801-57032 · 19 filingsShowHide
CRD 107785SEC 801-57032First filing on the tape Mar 22, 2012, latest Mar 18, 2026SEC status approved since Dec 1, 1999IAPD
RAUM
$554M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$554M as of Mar 18, 2026
Mar 22, 2012$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 22, 20120 then
Employees (5.A)5 as of Mar 18, 2026
Mar 27, 20134 then
Private funds2 as of Mar 18, 2026
Mar 22, 20122 then
RAUM +25% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- $138MderivedRAUM 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
- +25%derivedbetween 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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $554M, 3 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$554M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $554M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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 |
|---|---|---|---|---|
| A••••• G••••• P•••••••• L•• | Hedge Fund | $417M | 30 | Mar 22, 2012 |
| A••••• W••••••••• L••• | Hedge Fund | $137M | 13 | Mar 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••••• E••••• · Chief Risk Officercontrolsince 03/2013 · owns 25% to 50%
- K••••••• N••••• A•• · Managing Membercontrolsince 11/1999 · owns 50% to 75%
- P••••••••• R••••••• M•••••• · Coo & Ccocontrolsince 08/2016 · owns less than 5%
Related persons
Schedule D 7.A
- A••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $444M to $554MMar 24, 2025 to Mar 18, 2026
- Discretionary RAUM · $444M to $554MMar 24, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $444M to $554MMar 24, 2025 to Mar 18, 2026
- RAUM · $444M to $554MMar 24, 2025 to Mar 18, 2026
- Assets in custody · $326M to $444MJul 16, 2024 to Mar 24, 2025
- Financial planning clients · unset to Jul 16, 2024 to Mar 24, 2025
- Discretionary RAUM · $326M to $444MJul 16, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $326M to $444MJul 16, 2024 to Mar 24, 2025
- RAUM · $326M to $444MJul 16, 2024 to Mar 24, 2025
- Assets in custody · $187M to $326MMar 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $187M to $326MMar 23, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $187M to $326MMar 23, 2023 to Mar 25, 2024
- RAUM · $187M to $326MMar 23, 2023 to Mar 25, 2024
- Assets in custody · $340M to $187MMar 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $340M to $187MMar 28, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $340M to $187MMar 28, 2022 to Mar 23, 2023
- RAUM · $340M to $187MMar 28, 2022 to Mar 23, 2023
- Assets in custody · $343M to $340MMar 18, 2021 to Mar 28, 2022
- Discretionary RAUM · $343M to $340MMar 18, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $343M to $340MMar 18, 2021 to Mar 28, 2022
- RAUM · $343M to $340MMar 18, 2021 to Mar 28, 2022
- Assets in custody · $209M to $343MMar 24, 2020 to Mar 18, 2021
- Discretionary RAUM · $209M to $343MMar 24, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $209M to $343MMar 24, 2020 to Mar 18, 2021
- RAUM · $209M to $343MMar 24, 2020 to Mar 18, 2021
- Assets in custody · $165M to $209MMar 26, 2019 to Mar 24, 2020
- Discretionary RAUM · $165M to $209MMar 26, 2019 to Mar 24, 2020
- Pooled vehicle RAUM · $165M to $209MMar 26, 2019 to Mar 24, 2020
- RAUM · $165M to $209MMar 26, 2019 to Mar 24, 2020
- Assets in custody · $186M to $165MJan 30, 2019 to Mar 26, 2019
- Discretionary RAUM · $186M to $165MJan 30, 2019 to Mar 26, 2019
- Pooled vehicle RAUM · $186M to $165MJan 30, 2019 to Mar 26, 2019
- RAUM · $186M to $165MJan 30, 2019 to Mar 26, 2019
- Charity clients · unset to 0.0Mar 15, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Mar 15, 2017 to Mar 22, 2018
- HNW clients · unset to 0.0Mar 15, 2017 to Mar 22, 2018
- Individual clients · unset to 0.0Mar 15, 2017 to Mar 22, 2018
- Pension plan clients · unset to 0.0Mar 15, 2017 to Mar 22, 2018
- Pooled vehicle clients · unset to 4.0Mar 15, 2017 to Mar 22, 2018
- Assets in custody · $135M to $186MMar 15, 2017 to Mar 22, 2018
Signals
6 dated events
- ••• LockedMar 18, 2026 · private fund gav change · fact
- ••• LockedMar 18, 2026 · ria private fund assets change · fact
- ••• LockedMar 24, 2025 · RAUM change · derived
- ••• LockedMar 25, 2024 · RAUM change · derived
- ••• LockedMar 23, 2023 · RAUM change · derived
- ••• LockedMar 18, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 18, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 18, 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