DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

A••••• C•••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 135378SEC 801-65136IAPD

Latest filing Jun 25, 2015

First filing on the tape Mar 30, 2012 · 9 filings

RAUM

$3.7B

reported, Item 5.F

Discretionary

46%

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

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$3.7B as of Jun 25, 2015

Jun 26, 2012$88.8M then

HNW client RAUM: no history

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

Jun 26, 20120 then

Employees (5.A)3 as of Jun 25, 2015

Jun 24, 20133 then

Private funds: 1

RAUM +1.9% over the last fiscal year+247% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 25, 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: $1.2BderivedRAUM over accounts (5.F.2.f)
Discretionary: 46%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: +1.9%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 businesses and institutionsreportedItem 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

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)

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: 3reported
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

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

Fund	Type	Gross assets	Owners	First reported
A••••• G••••• M•••• M••••• F•••no longer reported	Hedge Fund	$78.0M	7	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

L•••••• A••••• · Member And Chief Compliance Officercontrol
since 03/2004 · owns 25% to 50%
N•••• A••• · Membercontrol
since 03/2004 · owns 25% to 50%
L•••••• A••••• · Directorcontrol
since 03/2004 · owns 50% to 75% of A••••• M••••••••• L••••••
N•••• A••• · Directorcontrol
since 03/2004 · owns 50% to 75% of A••••• M••••••••• L••••••

Entity owners

A••••• M••••••••• L•••••• · Member
direct · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $1.7B to $1.7B
Feb 3, 2015 to Jun 25, 2015
Non-discretionary RAUM · $2.0B to $2.0B
Feb 3, 2015 to Jun 25, 2015
RAUM · $3.6B to $3.7B
Feb 3, 2015 to Jun 25, 2015
Discretionary RAUM · $1.4B to $1.7B
Nov 22, 2013 to Jun 27, 2014
Non-discretionary RAUM · $1.7B to $2.0B
Nov 22, 2013 to Jun 27, 2014
RAUM · $3.2B to $3.6B
Nov 22, 2013 to Jun 27, 2014
Accounts · 2 to 3
Jun 24, 2013 to Jun 27, 2013
Accounts · 3 to 2
Apr 1, 2013 to Jun 24, 2013
Discretionary RAUM · $1.4B to $1.4B
Apr 1, 2013 to Jun 24, 2013
Non-discretionary RAUM · $1.7B to $1.7B
Apr 1, 2013 to Jun 24, 2013
RAUM · $3.1B to $3.2B
Apr 1, 2013 to Jun 24, 2013
Advisory employees · unset to 3.0
Jun 26, 2012 to Apr 1, 2013
Advisory activities · 2 to 1
Jun 26, 2012 to Apr 1, 2013
Employees · unset to 3.0
Jun 26, 2012 to Apr 1, 2013
Financial planning clients · 0 to unset
Jun 26, 2012 to Apr 1, 2013
Private funds · 1 to unset
Jun 26, 2012 to Apr 1, 2013
Discretionary RAUM · $88.8M to $1.4B
Jun 26, 2012 to Apr 1, 2013
Non-discretionary RAUM · $0 to $1.7B
Jun 26, 2012 to Apr 1, 2013
RAUM · $88.8M to $3.1B
Jun 26, 2012 to Apr 1, 2013
Discretionary RAUM · $96.4M to $88.8M
Mar 30, 2012 to Jun 26, 2012
RAUM · $96.4M to $88.8M
Mar 30, 2012 to Jun 26, 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