DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
5•• V•••••••
Asset manager (funds and pooled vehicles)San Francisco, CaliforniaCRD 160395SEC 801-120173websiteIAPD
Legal name 5•• V•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 16, 2020 · 13 filings
SEC status approved since Jan 19, 2021
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
12
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.1B as of Mar 30, 2026
Mar 28, 2022$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20220 then
Employees (5.A)32 as of Mar 30, 2026
Mar 28, 202241 then
Private funds12 as of Mar 30, 2026
Mar 28, 202211 then
RAUM -14% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $77.4MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%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
- $947M, 14 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $947M for 14 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 5•• V••••••• V••• L• | Venture Capital Fund | $413M | 106 | Mar 28, 2022 |
| 5•• V••••••• V•• L• | Venture Capital Fund | $376M | 87 | Mar 29, 2019 |
| 5•• O••••••••• I•• L• | Private Equity Fund | $320M | 86 | Mar 28, 2022 |
| 5•• V••••••• V• L• | Venture Capital Fund | $150M | 81 | Mar 27, 2017 |
| 5•• V••••••• I•• L• | Venture Capital Fund | $82.1M | 50 | Mar 25, 2014 |
| 5•• O••••••••• I• L• | Private Equity Fund | $67.8M | 49 | Mar 29, 2019 |
| 5•• V••••••• I•• L• | Venture Capital Fund | $26.7M | 45 | Mar 29, 2012 |
| 5•• V••••••• I••• L• | Venture Capital Fund | $14.4M | 45 | Mar 29, 2012 |
| 5•• V••••••• L••no longer reported | Venture Capital Fund | $6.3M | 12 | Mar 29, 2012 |
| 5•• C••••••••• I•• L• | Venture Capital Fund | $3.4M | 33 | Mar 25, 2014 |
| 5•• C••••••••• I•• L• | Venture Capital Fund | $1.1M | 31 | Mar 29, 2012 |
| 5•• C••••••••• L••no longer reported | Venture Capital Fund | $933,185 | 52 | Mar 29, 2012 |
| 5•• C••••••••• I••• L• | Venture Capital Fund | $387,911 | 31 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• L•••••• A••••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- P•••••• K•••• M• · Member, 5•• V•••••• M••••••••• L••controlsince 01/2016 · owns 50% to 75%
- S•••••• A•••••• J•••• · Member, 5am Venture Management LLCcontrolsince 04/2006 · owns 50% to 75%
- S••••• P•••• A• · Partner, Chief Legal Officercontrolsince 11/2023 · owns less than 5%
Related persons
Schedule D 7.A
- 5•• O••••••••• •••• L••pooled vehicle sponsorn
- 5•• O••••••••• I• •••• L••pooled vehicle sponsorn
- 5•• O••••••••• I• •••• L••pooled vehicle sponsorn
- 5•• P••••••• I•• L••pooled vehicle sponsorn
- 5•• P••••••• I••• L••pooled vehicle sponsorn
- 5•• P••••••• I•• L••pooled vehicle sponsorn
- 5•• P••••••• V• L••pooled vehicle sponsorn
- 5•• P••••••• V•• L••pooled vehicle sponsorn
- 5•• P••••••• V••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Boston, MA9 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 26 to 18Jan 5, 2026 to Mar 30, 2026
- Assets in custody · $1.0B to $947MJan 5, 2026 to Mar 30, 2026
- Employees · 43 to 32Jan 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $1.1BJan 5, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $1.3B to $1.1BJan 5, 2026 to Mar 30, 2026
- RAUM · $1.3B to $1.1BJan 5, 2026 to Mar 30, 2026
- Accounts · 11 to 14Nov 13, 2024 to Apr 23, 2025
- Advisory employees · 19 to 26Nov 13, 2024 to Apr 23, 2025
- Pooled vehicle clients · 11 to 14Nov 13, 2024 to Apr 23, 2025
- Assets in custody · $1.0B to $1.0BNov 13, 2024 to Apr 23, 2025
- Employees · 37 to 43Nov 13, 2024 to Apr 23, 2025
- Financial planning clients · unset to Nov 13, 2024 to Apr 23, 2025
- Private funds · 11 to 12Nov 13, 2024 to Apr 23, 2025
- Discretionary RAUM · $1.5B to $1.3BNov 13, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $1.5B to $1.3BNov 13, 2024 to Apr 23, 2025
- RAUM · $1.5B to $1.3BNov 13, 2024 to Apr 23, 2025
- Related bank · false to trueNov 13, 2024 to Apr 23, 2025
- Advisory employees · 21 to 19Nov 29, 2023 to Mar 28, 2024
- Assets in custody · $1.1B to $1.0BNov 29, 2023 to Mar 28, 2024
- Employees · 35 to 37Nov 29, 2023 to Mar 28, 2024
- Other offices · 1 to 2Nov 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.7B to $1.5BNov 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.7B to $1.5BNov 29, 2023 to Mar 28, 2024
- RAUM · $1.7B to $1.5BNov 29, 2023 to Mar 28, 2024
- Advisory employees · 17 to 21Mar 28, 2022 to Mar 28, 2023
- Assets in custody · $1.2B to $1.1BMar 28, 2022 to Mar 28, 2023
- Employees · 41 to 35Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.0B to $1.7BMar 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $2.0B to $1.7BMar 28, 2022 to Mar 28, 2023
- RAUM · $2.0B to $1.7BMar 28, 2022 to Mar 28, 2023
- Accounts · 9 to 11Feb 9, 2021 to Mar 28, 2022
- Pooled vehicle clients · 9 to 11Feb 9, 2021 to Mar 28, 2022
- Assets in custody · $948M to $1.2BFeb 9, 2021 to Mar 28, 2022
- Employees · 37 to 41Feb 9, 2021 to Mar 28, 2022
- Private funds · 9 to 11Feb 9, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.3B to $2.0BFeb 9, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.3B to $2.0BFeb 9, 2021 to Mar 28, 2022
- RAUM · $1.3B to $2.0BFeb 9, 2021 to Mar 28, 2022
- Private funds · 18 to 9Dec 16, 2020 to Feb 9, 2021
Signals
4 dated events
- Alison Lauren Daniel (Chief Compliance Officer) appeared on Schedule A of 5•• V•••••••Aug 15, 2024 · Control person joined · fact
- A Paul Stone (Partner, Chief Legal Officer And Chief Compliance Officer) appeared on Schedule A of 5•• V•••••••Nov 29, 2023 · Control person joined · fact
- 5•• V••••••• reported RAUM $2.0B, up 59% from $1.3B (2021-02-09 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- 5•• V••••••• filed its initial SEC registration (Form ADV)Dec 16, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 5•• V••••••• · Independent Sponsorsshared crd · capital_provider
- 5•• V••••••• · Private Equityshared crd · organization
- 5•• V••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/5amventuresreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/4-59-newcoreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 459initiative.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-993-8570reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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