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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Former SEC-registered adviser

C•••••• V•••••••• L•••

Former SEC-registered adviserCambridge, MassachusettsCRD 160728SEC 801-74273IAPD
Latest filing Mar 31, 2022
First filing on the tape Feb 15, 2012 · 19 filings
RAUM
$35.2M
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
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
$52.6M gross assets
History
19 filings and snapshots on the tape
RAUM$35.2M as of Mar 31, 2022
Mar 26, 2013$331M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 26, 20130 then
Employees (5.A)4 as of Mar 31, 2022
Mar 26, 201329 then
Private funds8 as of Mar 31, 2022
Mar 26, 20138 then
RAUM +44% over the last fiscal year-8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$4.4MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+44%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)
  • 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
  • Pooled investment vehicles$35.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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 departureEvery arrival
      Private funds
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• A••• C•••••• L•••• L•••Private Equity Fund$35.6M46Feb 15, 2012
      C•••••• A••• C•••••• P•••••••• L•••Private Equity Fund$7.7M13Feb 15, 2012
      C•••••• A••• C••••••• C•••Private Equity Fund$6.3M3Feb 15, 2012
      C•••••• A••• C•••••• P••••••• •••• L•••Private Equity Fund$1.0M5Feb 15, 2012
      C•••••• V••••••• F•••• L•••Private Equity Fund$981,00930Feb 15, 2012
      C•••••• V••••••• G••• • C•• B••••••••• K•Private Equity Fund$34,3403Feb 15, 2012
      C•••••• V••••••• F••• •••• L•••Private Equity Fund$12,3262Feb 15, 2012
      C•••••• V••••••• F••• ••••••••• L•••Private Equity Fund$1,1243Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•• J••••••••• N•• · Managing Partner, Founder, Managing Membercontrol
        since 03/2000 · owns 75% or more
      • M•••••• I••• M•••••••• · Partner & Chief Compliance Officercontrol
        since 05/2009 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• V•••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Taipei, Taiwan, Republic of China1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 4
        Dec 2, 2021 to Mar 31, 2022
      • Employees · 10 to 4
        Dec 2, 2021 to Mar 31, 2022
      • HQ city · SAN FRANCISCO to CAMBRIDGE
        Dec 2, 2021 to Mar 31, 2022
      • HQ state · CA to MA
        Dec 2, 2021 to Mar 31, 2022
      • Discretionary RAUM · $24.6M to $35.2M
        Dec 2, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $24.6M to $35.2M
        Dec 2, 2021 to Mar 31, 2022
      • RAUM · $24.6M to $35.2M
        Dec 2, 2021 to Mar 31, 2022
      • Advisory employees · 11 to 7
        Feb 9, 2021 to Mar 30, 2021
      • Employees · 12 to 10
        Feb 9, 2021 to Mar 30, 2021
      • Discretionary RAUM · $38.4M to $24.6M
        Feb 9, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $38.4M to $24.6M
        Feb 9, 2021 to Mar 30, 2021
      • RAUM · $38.4M to $24.6M
        Feb 9, 2021 to Mar 30, 2021
      • Discretionary RAUM · $45.5M to $38.4M
        Mar 29, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $45.5M to $38.4M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $45.5M to $38.4M
        Mar 29, 2019 to Mar 31, 2020
      • Employees · 13 to 12
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $58.5M to $45.5M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $58.5M to $45.5M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $58.5M to $45.5M
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 11
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 8.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 12 to 13
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $65.5M to $58.5M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 58450000.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $65.5M to $58.5M
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 6
        Jan 25, 2017 to Mar 31, 2017
      • Employees · 10 to 12
        Jan 25, 2017 to Mar 31, 2017
      • Discretionary RAUM · $63.5M to $65.5M
        Jan 25, 2017 to Mar 31, 2017
      • RAUM · $63.5M to $65.5M
        Jan 25, 2017 to Mar 31, 2017
      • Advisory employees · 10 to 5
        Mar 30, 2016 to Jan 25, 2017
      • Employees · 19 to 10
        Mar 30, 2016 to Jan 25, 2017
      • HQ city · BRISBANE to SAN FRANCISCO
        Mar 30, 2016 to Jan 25, 2017
      • Advisory employees · 16 to 10
        Nov 24, 2015 to Mar 30, 2016
      • Employees · 21 to 19
        Nov 24, 2015 to Mar 30, 2016
      • Discretionary RAUM · $77.4M to $63.5M
        Nov 24, 2015 to Mar 30, 2016
      • RAUM · $77.4M to $63.5M
        Nov 24, 2015 to Mar 30, 2016
      • Advisory employees · 22 to 16
        Mar 27, 2014 to Mar 30, 2015
      • Employees · 28 to 21
        Mar 27, 2014 to Mar 30, 2015
      • Discretionary RAUM · $289M to $77.4M
        Mar 27, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • Nmn Yintung Chen (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of C•••••• V•••••••• L••• (listed 2020-03-31, absent 2021-02-09)
        Feb 9, 2021 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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