DFX Intelligence

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Former SEC-registered adviser

P•••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 137783SEC 801-65679IAPD

Latest filing Oct 2, 2018

First filing on the tape Mar 29, 2012 · 26 filings

RAUM

$428M

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

beyond the principal office

Private funds

$262M gross assets

History

26 filings and snapshots on the tape

RAUM$428M as of Mar 29, 2018

Mar 29, 2012$2.6B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 29, 2018

Mar 26, 20130 then

Employees (5.A)9 as of Mar 29, 2018

Mar 26, 201336 then

Private funds7 as of Mar 29, 2018

Mar 29, 20126 then

RAUM -67% over the last fiscal year-41% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Oct 2, 2018; 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: $61.1MderivedRAUM 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: -67%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $159M, 4 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

has discretionary authority over which securities are bought or sold (8.C.1)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.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$428M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 7reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $159M for 4 clientsreported
Compensation: % of AUM, fixed, 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

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

Fund	Type	Gross assets	Owners	First reported
M•••••• A•••••• I••••••••• S•• • R•• S••••••••• P••••••••no longer reported	Hedge Fund	$54.5M	2	Mar 29, 2012
P•••••• P•••••••• L•	Hedge Fund	$40.6M	31	Mar 29, 2012
P•••••• P••••••• Q• F•••• L•••	Hedge Fund	$35.7M	42	Mar 29, 2012
M•••••• A•••••• I••••••••• S•• • P•• S••••••••• P••••••••no longer reported	Hedge Fund	$34.2M	2	Mar 29, 2012
P•••••• P••••••• M• F•••• L•••	Hedge Fund	$19.9M	1	Sep 30, 2015
P•••••• T••••••• U••• F•••• L•	Hedge Fund	$0	0	Mar 29, 2012
P•••••• M••••• I••••••••• F•••• A• S••••••• O• D•• Q•••• P••••••• I•••	Hedge Fund	$0	0	Jul 1, 2016
H•••• • H••••• L•••	Hedge Fund	$0	0	Mar 28, 2014
P•••••• P••••••• ••• F•••• L•••	Hedge Fund	$0	0	Mar 28, 2014
P•••••• T••••••• I••••••••• M••••• F•••• L•	Hedge Fund	$0	0	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

A•••••••• A••• · President And Chief Science Officercontrol
since 08/2017 · owns 10% to 25%
B••••••• D••• · Chief Financial Officercontrol
since 08/2018 · owns less than 5%
O••••••••• C••••• B•••••• · Chief Executive Officer & Chief Compliance Officercontrol
since 07/2016 · owns 10% to 25%
T••••••• J••••••• G•••• · Chairman, Managing Membercontrol
since 04/2002 · owns 50% to 75%
W•••••••• M••••••• O••••• · Chief Investment Officercontrol
since 08/2017 · owns 10% to 25%

Related persons

Schedule D 7.A

M•••• G•• L••
bankpooled vehicle sponsorn
P•••••• P••••••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 6 to 7
Nov 17, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 7.0
Nov 17, 2017 to Mar 29, 2018
Assets in custody · $370M to $159M
Nov 17, 2017 to Mar 29, 2018
Private funds · 8 to 7
Nov 17, 2017 to Mar 29, 2018
Discretionary RAUM · $1.3B to $428M
Nov 17, 2017 to Mar 29, 2018
Pension RAUM · unset to 0.0
Nov 17, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 428020624.0
Nov 17, 2017 to Mar 29, 2018
RAUM · $1.3B to $428M
Nov 17, 2017 to Mar 29, 2018
Related adviser · true to false
Nov 17, 2017 to Mar 29, 2018
Advisory employees · 6 to 3
Aug 2, 2017 to Nov 17, 2017
BD registered reps · 1 to 0
Aug 2, 2017 to Nov 17, 2017
Employees · 18 to 9
Aug 2, 2017 to Nov 17, 2017
Other offices · unset to 0.0
Aug 2, 2017 to Nov 17, 2017
Accounts · 11 to 6
Jul 1, 2016 to Mar 30, 2017
Advisory employees · 7 to 6
Jul 1, 2016 to Mar 30, 2017
BD registered reps · 0 to 1
Jul 1, 2016 to Mar 30, 2017
Assets in custody · $775M to $370M
Jul 1, 2016 to Mar 30, 2017
Employees · 32 to 18
Jul 1, 2016 to Mar 30, 2017
Discretionary RAUM · $1.8B to $1.3B
Jul 1, 2016 to Mar 30, 2017
RAUM · $1.8B to $1.3B
Jul 1, 2016 to Mar 30, 2017
Accounts · 10 to 11
Mar 11, 2016 to Jul 1, 2016
Assets in custody · $826M to $775M
Mar 11, 2016 to Jul 1, 2016
Private funds · 7 to 8
Mar 11, 2016 to Jul 1, 2016
Discretionary RAUM · $2.0B to $1.8B
Mar 11, 2016 to Jul 1, 2016
RAUM · $2.0B to $1.8B
Mar 11, 2016 to Jul 1, 2016
Assets in custody · $894M to $826M
Sep 30, 2015 to Mar 11, 2016
Discretionary RAUM · $2.1B to $2.0B
Sep 30, 2015 to Mar 11, 2016
RAUM · $2.1B to $2.0B
Sep 30, 2015 to Mar 11, 2016
Accounts · 8 to 10
Mar 13, 2015 to Sep 30, 2015
Advisory employees · 8 to 7
Mar 13, 2015 to Sep 30, 2015
Assets in custody · $1.5B to $894M
Mar 13, 2015 to Sep 30, 2015
Private funds · 6 to 7
Mar 13, 2015 to Sep 30, 2015
Discretionary RAUM · $2.1B to $2.1B
Mar 13, 2015 to Sep 30, 2015
RAUM · $2.1B to $2.1B
Mar 13, 2015 to Sep 30, 2015
Advisory employees · 11 to 8
Sep 5, 2014 to Mar 13, 2015
Assets in custody · $1.6B to $1.5B
Sep 5, 2014 to Mar 13, 2015
Employees · 30 to 32
Sep 5, 2014 to Mar 13, 2015
Discretionary RAUM · $2.1B to $2.1B
Sep 5, 2014 to Mar 13, 2015
RAUM · $2.1B to $2.1B
Sep 5, 2014 to Mar 13, 2015
Discretionary RAUM · $2.2B to $2.1B
Jun 20, 2014 to Sep 5, 2014

Signals

1 dated events

••• Locked
Mar 29, 2018 · 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.

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