DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

T••••••• A•••• M••••••••• A•

Former SEC-registered adviserZug, CRD 161484SEC 801-76861IAPD

Latest filing Jun 24, 2021

First filing on the tape Jun 26, 2012 · 14 filings

SEC status approved since Jul 26, 2012

RAUM

$10.0M

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$10.0M as of Jun 24, 2021

Feb 7, 2013$1.9B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 24, 2021

Feb 7, 20130 then

Employees (5.A)3 as of Jun 24, 2021

Feb 7, 201315 then

Private funds: no history

RAUM -58% over the last fiscal year-67% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 24, 2021; 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: $10.0MderivedRAUM 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: -58%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 businesses and institutions, 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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$10.0M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: 0reported
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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
C•••••••• A•••• O•no longer reported	Other Private Fund	$711M	150	Feb 14, 2012
B•••••• S•••••••• • C•no longer reported	Other Private Fund	$283M	1	Feb 14, 2012
S•••••no longer reported	Other Private Fund	$200M	1	Feb 14, 2012
T••••••• C•••••••• A•••• E••• O•no longer reported	Other Private Fund	$156M	40	Feb 14, 2012
T••••••• I•••••••• O•no longer reported	Other Private Fund	$138M	15	Feb 14, 2012
C•••no longer reported	Other Private Fund	$130M	1	Feb 14, 2012
M••••••no longer reported	Other Private Fund	$109M	1	Feb 14, 2012
I•••no longer reported	Other Private Fund	$107M	1	Feb 14, 2012
T••••••• A••••••• R••••• C•••••••• O•no longer reported	Other Private Fund	$89.3M	40	Feb 14, 2012
A•••• I•••••••• I••••••••• S••••••••no longer reported	Other Private Fund	$76.7M	1	Feb 14, 2012
T••••••• E••••••• O•no longer reported	Other Private Fund	$69.7M	15	Feb 14, 2012
M•••••• R•••••••••no longer reported	Other Private Fund	$66.3M	1	Jun 26, 2012
T••••••• A••••• C•••••••• O•no longer reported	Other Private Fund	$30.9M	20	Feb 14, 2012
L•• C•••••••• B••• T• ••••no longer reported	Other Private Fund	$18.5M	1	Feb 14, 2012
T••••••• C•••••••• F••• O• F••••••no longer reported	Other Private Fund	$14.4M	1	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

E•••• C••••••••• B••••••• · Cofounder And Group Chief Executive Officercontrol
since 10/2005 · 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

Accounts · 2 to 1
Mar 31, 2020 to Jun 24, 2021
Discretionary RAUM · $24.0M to $10.0M
Mar 31, 2020 to Jun 24, 2021
Pooled vehicle RAUM · $24.0M to $10.0M
Mar 31, 2020 to Jun 24, 2021
RAUM · $24.0M to $10.0M
Mar 31, 2020 to Jun 24, 2021
Accounts · 4 to 2
Mar 22, 2019 to Mar 31, 2020
HQ city · BAAR to ZUG
Mar 22, 2019 to Mar 31, 2020
Discretionary RAUM · $150M to $24.0M
Mar 22, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $150M to $24.0M
Mar 22, 2019 to Mar 31, 2020
RAUM · $150M to $24.0M
Mar 22, 2019 to Mar 31, 2020
Accounts · 7 to 4
Mar 29, 2018 to Mar 22, 2019
Pooled vehicle clients · 5 to 4
Mar 29, 2018 to Mar 22, 2019
Employees · 6 to 3
Mar 29, 2018 to Mar 22, 2019
Discretionary RAUM · $280M to $150M
Mar 29, 2018 to Mar 22, 2019
Pooled vehicle RAUM · $50.0M to $150M
Mar 29, 2018 to Mar 22, 2019
RAUM · $280M to $150M
Mar 29, 2018 to Mar 22, 2019
Accounts · 11 to 7
Mar 22, 2017 to Mar 29, 2018
Advisory employees · 5 to 3
Mar 22, 2017 to Mar 29, 2018
Charity clients · unset to 0.0
Mar 22, 2017 to Mar 29, 2018
Corporate clients · unset to 0.0
Mar 22, 2017 to Mar 29, 2018
HNW clients · unset to 0.0
Mar 22, 2017 to Mar 29, 2018
Individual clients · unset to 0.0
Mar 22, 2017 to Mar 29, 2018
Pension plan clients · unset to 0.0
Mar 22, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 5.0
Mar 22, 2017 to Mar 29, 2018
Employees · 8 to 6
Mar 22, 2017 to Mar 29, 2018
HQ city · ZUG to BAAR
Mar 22, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 22, 2017 to Mar 29, 2018
Discretionary RAUM · $566M to $280M
Mar 22, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 50000000.0
Mar 22, 2017 to Mar 29, 2018
RAUM · $566M to $280M
Mar 22, 2017 to Mar 29, 2018
Employees · 10 to 8
Mar 21, 2016 to Mar 22, 2017
Discretionary RAUM · $738M to $566M
Mar 21, 2016 to Mar 22, 2017
RAUM · $738M to $566M
Mar 21, 2016 to Mar 22, 2017
Advisory employees · 6 to 5
Mar 24, 2015 to Mar 21, 2016
Employees · 11 to 10
Mar 24, 2015 to Mar 21, 2016
Discretionary RAUM · $834M to $738M
Mar 24, 2015 to Mar 21, 2016
RAUM · $834M to $738M
Mar 24, 2015 to Mar 21, 2016
Accounts · 14 to 11
Oct 9, 2014 to Mar 24, 2015
Employees · 13 to 11
Oct 9, 2014 to Mar 24, 2015
Discretionary RAUM · $1.1B to $834M
Oct 9, 2014 to Mar 24, 2015
RAUM · $1.1B to $834M
Oct 9, 2014 to Mar 24, 2015

Signals

7 dated events

••• Locked
Mar 6, 2025 · Left the SEC roster · derived
••• Locked
Mar 31, 2020 · RAUM change · derived
••• Locked
Mar 22, 2019 · RAUM change · derived
••• Locked
Mar 22, 2019 · Control person left · inference
••• Locked
Mar 22, 2019 · Control person left · inference
••• Locked
Mar 29, 2018 · RAUM change · derived
••• Locked
Jun 26, 2012 · 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.

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