DFX Intelligence
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Former SEC-registered adviser
D•••• C•••••• P•••••••• L••
Latest filing Mar 28, 2018
First filing on the tape May 17, 2013 · 10 filings
RAUM
$1000M
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
0
beyond the principal office
Private funds
1
$1000M gross assets
History
10 filings and snapshots on the tape
RAUM$1000M as of Mar 28, 2018
Mar 26, 2014$315M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 26, 20140 then
Employees (5.A)4 as of Mar 28, 2018
Mar 26, 20143 then
Private funds1 as of Mar 28, 2018
Mar 26, 20141 then
RAUM +36% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2018; 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
- $1000MderivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%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
- $737M, 1 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)
- 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
- Pooled investment vehicles$1000M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $737M for 1 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••• P••••••••• L• | Hedge Fund | $1000M | 25 | Mar 7, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••• L••••••• A•••• · Managing Member And Chief Compliance Officercontrolsince 04/2008 · owns 75% or more
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
- Pooled vehicle clients · unset to 1.0Mar 30, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 28, 2018
- Discretionary RAUM · $737M to $1000MMar 30, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 999691480.0Mar 30, 2017 to Mar 28, 2018
- RAUM · $737M to $1000MMar 30, 2017 to Mar 28, 2018
- Advisory employees · 3 to 4Mar 25, 2016 to Mar 30, 2017
- Assets in custody · $509M to $737MMar 25, 2016 to Mar 30, 2017
- Employees · 3 to 4Mar 25, 2016 to Mar 30, 2017
- Discretionary RAUM · $509M to $737MMar 25, 2016 to Mar 30, 2017
- RAUM · $509M to $737MMar 25, 2016 to Mar 30, 2017
- Assets in custody · $444M to $509MMar 26, 2015 to Mar 25, 2016
- Discretionary RAUM · $444M to $509MMar 26, 2015 to Mar 25, 2016
- RAUM · $444M to $509MMar 26, 2015 to Mar 25, 2016
- Assets in custody · $306M to $444MNov 11, 2014 to Mar 25, 2015
- Discretionary RAUM · $315M to $444MNov 11, 2014 to Mar 25, 2015
- RAUM · $315M to $444MNov 11, 2014 to Mar 25, 2015
- HQ city · SAN FRANCISCO to SAUSALITOMar 26, 2014 to May 12, 2014
- Assets in custody · $211M to $306MJul 16, 2013 to Mar 26, 2014
- Discretionary RAUM · $211M to $315MJul 16, 2013 to Mar 26, 2014
- RAUM · $211M to $315MJul 16, 2013 to Mar 26, 2014
- Private funds · 2 to 1May 17, 2013 to Jul 16, 2013
Signals
2 dated events
- D•••• C•••••• P•••••••• L•• reported RAUM $999.7M, up 36% from $737.0M (2017-03-30 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- D•••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 17, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
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