DFX Intelligence

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Former SEC-registered adviser

F•••• I••••••••• L•••

Former SEC-registered adviserPembroke, CRD 126342SEC 801-61997IAPD

Latest filing Aug 20, 2015

First filing on the tape Mar 29, 2012 · 7 filings

RAUM

$53.0M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$52.9M gross assets

History

7 filings and snapshots on the tape

RAUM$73.5M as of Mar 25, 2015

Mar 29, 2012$143M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2015

Mar 19, 20130 then

Employees (5.A)20 as of Mar 25, 2015

Mar 19, 201319 then

Private funds4 as of Mar 25, 2015

Mar 29, 20123 then

RAUM -32% over the last fiscal year-28% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 20, 2015; 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: $13.3MderivedRAUM 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: -5.4%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 vehicles, selection of other advisersreportedItem 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

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
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 departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••• A••••••••• F••• L•••	Hedge Fund	$19.5M	11	Mar 29, 2012
F•••• O••••••••• F••• L••••••	Hedge Fund	$18.0M	6	Mar 29, 2012
F•••• S••••• F••• L•••	Hedge Fund	$9.5M	10	Mar 29, 2012
F•••• E••••• F••• L•••	Hedge Fund	$5.9M	6	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

J•••••• M•••• · Director/Chief Compliance Officercontrol
since 12/1996 · owns less than 5%
J•••••• M•••• · Shareholdercontrol
since 05/2009 · owns 25% to 50% of F•••• I••••••••• G•••• L•••

Entity owners

F•••• I••••••••• G•••• L••• · Shareholder
direct · owns 75% or more
C•••• T•••• C•••••• L•••••• · Trustee
indirect · owns F of T•• V••••• T••••
F•••• G•••• H•••••• L••• · Shareholder
indirect · owns 50% to 75% of F•••• I••••••••• G•••• L•••
T•• V••••• T•••• · Shareholder
indirect · owns 75% or more of F•••• G•••• H•••••• L•••

Related persons

Schedule D 7.A

No related person reported.

Advisers that list F•••• I••••••••• L••• as a related person

126351 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 7 to 3
Mar 25, 2015 to Aug 20, 2015
Employees · 20 to 15
Mar 25, 2015 to Aug 20, 2015
Discretionary RAUM · $73.5M to $53.0M
Mar 25, 2015 to Aug 20, 2015
RAUM · $73.5M to $53.0M
Mar 25, 2015 to Aug 20, 2015
Advisory activities · 3 to 2
Mar 20, 2014 to Mar 25, 2015
Private funds · 3 to 4
Mar 20, 2014 to Mar 25, 2015
Discretionary RAUM · $77.7M to $73.5M
Mar 20, 2014 to Mar 25, 2015
RAUM · $77.7M to $73.5M
Mar 20, 2014 to Mar 25, 2015
Related adviser · true to false
Mar 20, 2014 to Mar 25, 2015
Accounts · 3 to 4
Mar 19, 2013 to Mar 20, 2014
Employees · 19 to 20
Mar 19, 2013 to Mar 20, 2014
Discretionary RAUM · $82.7M to $77.7M
Mar 19, 2013 to Mar 20, 2014
RAUM · $82.7M to $77.7M
Mar 19, 2013 to Mar 20, 2014
Advisory employees · unset to 7.0
Oct 25, 2012 to Mar 19, 2013
Employees · unset to 19.0
Oct 25, 2012 to Mar 19, 2013
State-registered IARs · unset to 0.0
Oct 25, 2012 to Mar 19, 2013
Discretionary RAUM · $124M to $82.7M
Oct 25, 2012 to Mar 19, 2013
RAUM · $124M to $82.7M
Oct 25, 2012 to Mar 19, 2013
HQ city · HAMILTON to PEMBROKE
Mar 29, 2012 to Oct 25, 2012
Discretionary RAUM · $143M to $124M
Mar 29, 2012 to Oct 25, 2012
RAUM · $143M to $124M
Mar 29, 2012 to Oct 25, 2012

Signals

No event on the tape.

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