DFX Intelligence

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W••••••• C•••••• 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 $489M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $489M
Advisors: 0
RAUM change, 1 year: +70%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+69.7%
RAUM, one year
RAUM $288M to $489M (+69.7%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 140089 · SEC 801-126291 · 6 filingsShow

CRD 140089SEC 801-126291First filing on the tape Jun 30, 2022, latest Mar 31, 2026SEC status approved since Jul 29, 2022IAPD

RAUM

$489M

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

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM +34% a year over three years · the tape starts Jun 30, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$489M as of Mar 31, 2026

Mar 29, 2023$205M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 29, 20230 then

Employees (5.A)3 as of Mar 31, 2026

Mar 29, 20233 then

Private funds2 as of Mar 31, 2026

Mar 29, 20232 then

RAUM +70% over the last fiscal year+34% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $163MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +70%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
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$489M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
W••••••• P••••••• Q•• L•••	Hedge Fund	$303M	49	Feb 17, 2015
W••••••• P•••••••• L•••	Hedge Fund	$186M	33	Apr 2, 2012

Owners and control persons

Schedule A and B, latest filing

G•••••• C••••••••• J•••• · Managing Membercontrol
since 03/2006 · owns 75% or more
K•••••••• A•••••• S••• M•••• · Chief Operating Officer / Chief Compliance Officercontrol
since 10/2009 · owns less than 5%

Related persons

Schedule D 7.A

W••••••• H••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Mar 31, 2026
custody of client assets (Item 9.A): yes on the filing of 2025-03-28, no on the filing of 2026-03-31
peers: asset managers, $100M to $500M (1,568)
RAUM up 50 %Change between filings · filing Mar 31, 2026
RAUM (Item 5.F) moved from $288,038,866 to $488,905,268 (+70.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1140 comparable advisers, 94.0th percentile of changes)
peers: asset managers, $100M to $500M (1,140) · 94% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2 to 3
Mar 28, 2025 to Mar 31, 2026
Pooled vehicle clients · 2 to 3
Mar 28, 2025 to Mar 31, 2026
Custody of client assets · true to false
Mar 28, 2025 to Mar 31, 2026
Discretionary RAUM · $288M to $489M
Mar 28, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $288M to $489M
Mar 28, 2025 to Mar 31, 2026

Full history · 17 changes

RAUM · $288M to $489M
Mar 28, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 25, 2024 to Mar 28, 2025
Discretionary RAUM · $242M to $288M
Mar 25, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $242M to $288M
Mar 25, 2024 to Mar 28, 2025
RAUM · $242M to $288M
Mar 25, 2024 to Mar 28, 2025
Discretionary RAUM · $205M to $242M
Apr 26, 2023 to Mar 25, 2024
Pooled vehicle RAUM · $205M to $242M
Apr 26, 2023 to Mar 25, 2024
RAUM · $205M to $242M
Apr 26, 2023 to Mar 25, 2024
Private funds · 4 to 2
Jun 30, 2022 to Mar 29, 2023
Discretionary RAUM · $189M to $205M
Jun 30, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $189M to $205M
Jun 30, 2022 to Mar 29, 2023
RAUM · $189M to $205M
Jun 30, 2022 to Mar 29, 2023

Signals

4 dated events

••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Mar 31, 2026 · private fund gav change · fact
••• Locked
Mar 29, 2023 · ria registration change · fact
••• Locked
Jun 30, 2022 · First SEC registration · fact

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 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.