DFX Intelligence

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R••••• S•••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· San Francisco, Californiawebsite

Asset manager (funds and pooled vehicles), based in San Francisco, California, reporting $521M of regulatory assets.

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

As of 2026-06-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $521M
Advisors: 0
RAUM change, 1 year: +56%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-06-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

3 changes
ownership and control
2 control persons joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+56.2%
RAUM, one year
RAUM $334M to $521M (+56.2%) on the Form ADV filed 11 Jun 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 158301 · SEC 801-110885 · 19 filingsShow

CRD 158301SEC 801-110885First filing on the tape Jun 26, 2017, latest Jun 11, 2026SEC status approved since Aug 1, 2017IAPD

RAUM

$521M

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

19 filings and snapshots on the tape

RAUM +59% a year over three years · the tape starts Jun 26, 2017

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

RAUM$521M as of Jun 11, 2026

Mar 30, 2018$144M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 11, 2026

Mar 30, 20180 then

Employees (5.A)6 as of Jun 11, 2026

Mar 30, 20185 then

Private funds1 as of Jun 11, 2026

Mar 30, 20181 then

RAUM +56% over the last fiscal year+59% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 11, 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: $521MderivedRAUM 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: +56%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
Custody: $521M, 1 clientreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
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

100% pooled investment vehicles

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

Pooled investment vehicles$521M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $521M for 1 clientreported
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

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

Fund	Type	Gross assets	Owners	First reported
R••••• F•••• L••	Hedge Fund	$521M	3	Apr 12, 2012

Owners and control persons

Schedule A and B, latest filing

C•••••• M••••••• S•••• · Membercontrol
since 01/2018 · owns 5% to 10%
S••••• E•••• T••••• · Chief Compliance Officer, Chief Financial Officer And Chief Operating Officercontrol
since 11/2022 · owns less than 5%
W••••• W••••••• G•••• · Managing Membercontrol
since 12/2010 · owns 5% to 10%
G••••• G•••••• P•••• · Membercontrol
since 03/1998 · owns 75% or more of S••••• P•••• A••••••••• L••
C•••• K••••••• •••• · Member
since 12/2010 · owns less than 5%

Entity owners

F••••• A•••• M••••••••• L•• · Member
direct · owns 10% to 25%
S••••• P•••• A••••••••• L•• · Member
direct · owns 25% to 50%
F••••• T••••••••• I••• · Member
indirect · owns 75% or more of F••••• A•••• M••••••••• L••
S•••• O• W•••••••• I••••••••• B•••• · Member (Non-Voting)
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

Employees · 5 to 6
Mar 5, 2026 to Jun 11, 2026
Assets in custody · $334M to $521M
Jun 5, 2025 to Mar 5, 2026
Employees · 4 to 5
Jun 5, 2025 to Mar 5, 2026
Discretionary RAUM · $334M to $521M
Jun 5, 2025 to Mar 5, 2026
Pooled vehicle RAUM · $334M to $521M
Jun 5, 2025 to Mar 5, 2026

Full history · 65 changes

RAUM · $334M to $521M
Jun 5, 2025 to Mar 5, 2026
Financial planning clients · unset to
Mar 25, 2025 to Jun 5, 2025
BD registered reps · 1 to 0
Mar 27, 2024 to Mar 25, 2025
Assets in custody · $348M to $334M
Mar 27, 2024 to Mar 25, 2025
Employees · 5 to 4
Mar 27, 2024 to Mar 25, 2025
Discretionary RAUM · $348M to $334M
Mar 27, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $348M to $334M
Mar 27, 2024 to Mar 25, 2025
RAUM · $348M to $334M
Mar 27, 2024 to Mar 25, 2025
BD registered reps · 2 to 1
Mar 31, 2023 to Mar 27, 2024
Assets in custody · $129M to $348M
Mar 31, 2023 to Mar 27, 2024
Discretionary RAUM · $129M to $348M
Mar 31, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $129M to $348M
Mar 31, 2023 to Mar 27, 2024
RAUM · $129M to $348M
Mar 31, 2023 to Mar 27, 2024
Related adviser · true to false
Mar 31, 2023 to Mar 27, 2024
Related bank · true to false
Mar 31, 2023 to Mar 27, 2024
Related broker-dealer · true to false
Mar 31, 2023 to Mar 27, 2024
Assets in custody · $92.0M to $129M
Dec 14, 2022 to Mar 31, 2023
Discretionary RAUM · $92.0M to $129M
Dec 14, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $92.0M to $129M
Dec 14, 2022 to Mar 31, 2023
RAUM · $92.0M to $129M
Dec 14, 2022 to Mar 31, 2023
Employees · 6 to 5
Mar 31, 2022 to Nov 29, 2022
BD registered reps · 1 to 2
Mar 31, 2021 to Mar 31, 2022
Assets in custody · $99.9M to $92.0M
Mar 31, 2021 to Mar 31, 2022
Discretionary RAUM · $99.9M to $92.0M
Mar 31, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $99.9M to $92.0M
Mar 31, 2021 to Mar 31, 2022
RAUM · $99.9M to $92.0M
Mar 31, 2021 to Mar 31, 2022
Related broker-dealer · false to true
Mar 31, 2021 to Mar 31, 2022
BD registered reps · 0 to 1
Mar 26, 2020 to Mar 31, 2021
Assets in custody · $133M to $99.9M
Mar 26, 2020 to Mar 31, 2021
Employees · 5 to 6
Mar 26, 2020 to Mar 31, 2021
Discretionary RAUM · $133M to $99.9M
Mar 26, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $133M to $99.9M
Mar 26, 2020 to Mar 31, 2021
RAUM · $133M to $99.9M
Mar 26, 2020 to Mar 31, 2021
Assets in custody · $116M to $133M
Mar 28, 2019 to Mar 26, 2020
Discretionary RAUM · $116M to $133M
Mar 28, 2019 to Mar 26, 2020
Pooled vehicle RAUM · $116M to $133M
Mar 28, 2019 to Mar 26, 2020
RAUM · $116M to $133M
Mar 28, 2019 to Mar 26, 2020
Advisory employees · 1 to 2
Jun 20, 2018 to Mar 28, 2019
Assets in custody · $144M to $116M
Jun 20, 2018 to Mar 28, 2019
Discretionary RAUM · $144M to $116M
Jun 20, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $144M to $116M
Jun 20, 2018 to Mar 28, 2019
RAUM · $144M to $116M
Jun 20, 2018 to Mar 28, 2019
Related bank · false to true
Jun 20, 2018 to Mar 28, 2019
Advisory employees · 2 to 1
Feb 2, 2018 to Mar 30, 2018
Assets in custody · unset to 144000000.0
Feb 2, 2018 to Mar 30, 2018
Custody of client assets · false to true
Feb 2, 2018 to Mar 30, 2018
Employees · 4 to 5
Feb 2, 2018 to Mar 30, 2018
Other offices · 1 to 0
Feb 2, 2018 to Mar 30, 2018
Discretionary RAUM · $135M to $144M
Feb 2, 2018 to Mar 30, 2018
Pooled vehicle RAUM · $135M to $144M
Feb 2, 2018 to Mar 30, 2018
RAUM · $135M to $144M
Feb 2, 2018 to Mar 30, 2018
Related bank · true to false
Feb 2, 2018 to Mar 30, 2018
Related broker-dealer · true to false
Nov 2, 2017 to Feb 2, 2018
Pooled vehicle clients · unset to 1.0
Aug 9, 2017 to Nov 2, 2017
Employees · 6 to 4
Aug 9, 2017 to Nov 2, 2017
Other offices · unset to 1.0
Aug 9, 2017 to Nov 2, 2017
Discretionary RAUM · $130M to $135M
Aug 9, 2017 to Nov 2, 2017
Pooled vehicle RAUM · unset to 135000000.0
Aug 9, 2017 to Nov 2, 2017
RAUM · $130M to $135M
Aug 9, 2017 to Nov 2, 2017
Private funds · 2 to 1
Jun 26, 2017 to Aug 9, 2017

Signals

22 dated events

••• Locked
Jun 11, 2026 · Control person joined · fact
••• Locked
Jun 11, 2026 · ria majority owner change · fact
••• Locked
Jun 11, 2026 · ria ownership band change · fact
••• Locked
Jun 11, 2026 · ria ownership band change · fact
••• Locked
Jun 11, 2026 · Control person left · inference

Full timeline · 22 events

••• Locked
Jun 11, 2026 · Control person joined · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · derived
••• Locked
Jun 11, 2026 · ria indirect owner change · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · fact
••• Locked
Jun 11, 2026 · ria principal change · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · fact
••• Locked
Jun 11, 2026 · ria indirect owner change · derived
••• Locked
Jun 11, 2026 · ria principal change · fact
••• Locked
Mar 5, 2026 · RAUM change · derived
••• Locked
Mar 27, 2024 · RAUM change · derived
••• Locked
Nov 29, 2022 · Control person joined · fact
••• Locked
Aug 9, 2017 · ria registration change · fact
••• Locked
Jun 26, 2017 · 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, Jun 11, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 11, 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.