DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

C•••••• C•••••• M••••••••• G• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 149129SEC 801-76742IAPD

Latest filing Mar 4, 2014

First filing on the tape May 24, 2012 · 8 filings

RAUM

$137M

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

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$79.9M gross assets

History

8 filings and snapshots on the tape

RAUM$137M as of Mar 4, 2014

Mar 26, 2013$120M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 4, 2014

Mar 26, 20131 then

Employees (5.A)3 as of Mar 4, 2014

Mar 26, 20134 then

Private funds2 as of Mar 4, 2014

Mar 26, 20132 then

RAUM +14% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 4, 2014; every figure names its basis

RAUM per advisor: $137MderivedRAUM 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: $45.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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 institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $79.9M, 2 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)
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)

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: 0reported
Wrap fee programs: noreported
Custody of client assets: $79.9M for 2 clientsreported
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

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

Fund	Type	Gross assets	Owners	First reported
C•••••• C•••••• M•••••• L•	Hedge Fund	$74.9M	11	May 24, 2012
C•••••• C•••••• F•••••••• L•	Hedge Fund	$4.9M	9	May 24, 2012

Owners and control persons

Schedule A and B, latest filing

M•••••••• M•••• A•••••• · Chief Compliance Officer, Chief Operating Officercontrol
since 03/2010 · owns less than 5%
S••••• B••••••• M•••••• · Managing Membercontrol
since 05/2008 · owns 75% or more

Entity owners

P••••• S••••• C•••••• M••••••••• L•• · Shareholder
direct · owns 10% to 25%

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

Assets in custody · unset to 79855637.0
Nov 14, 2013 to Feb 24, 2014
Custody of client assets · false to true
Nov 14, 2013 to Feb 24, 2014
Discretionary RAUM · $136M to $137M
Nov 14, 2013 to Feb 24, 2014
RAUM · $136M to $137M
Nov 14, 2013 to Feb 24, 2014
Accounts · 4 to 3
Apr 22, 2013 to Nov 14, 2013
Advisory employees · 4 to 1
Apr 22, 2013 to Nov 14, 2013
Employees · 4 to 3
Apr 22, 2013 to Nov 14, 2013
Discretionary RAUM · $120M to $136M
Apr 22, 2013 to Nov 14, 2013
RAUM · $120M to $136M
Apr 22, 2013 to Nov 14, 2013
Advisory employees · unset to 4.0
Sep 25, 2012 to Mar 26, 2013
Employees · unset to 4.0
Sep 25, 2012 to Mar 26, 2013
State-registered IARs · 0 to 1
Sep 25, 2012 to Mar 26, 2013
Discretionary RAUM · $113M to $120M
Sep 25, 2012 to Mar 26, 2013
RAUM · $113M to $120M
Sep 25, 2012 to Mar 26, 2013
Discretionary RAUM · $119M to $113M
Jun 18, 2012 to Sep 25, 2012
RAUM · $119M to $113M
Jun 18, 2012 to Sep 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