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
C•••••• Z• A•••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jun 23, 2014 · 14 filings
SEC status approved since Jul 2, 2014
RAUM
$256M
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
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$256M as of Mar 11, 2026
Feb 19, 2015$224M then
HNW client RAUM$0 as of Mar 11, 2026
Feb 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Feb 19, 20150 then
Employees (5.A)3 as of Mar 11, 2026
Feb 19, 20151 then
Private funds: no history
RAUM +24% over the last fiscal year+9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $256MderivedRAUM 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
- +24%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$256M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••• · Chief Compliance Officer / Member Of The Board Of Managerscontrolsince 09/2022 · owns less than 5%
- M••••• R•••••• M••• · Member Of The Board Of Managerscontrolsince 02/2020 · owns less than 5%
- P••••• W••••••• D••••• · Member Of The Board Of Managerscontrolsince 01/2008 · owns less than 5%
Entity owners
- F• I•• E•• H•••••• L•• · Memberdirect · owns 50% to 75%
- K• S••••• C••••• L•••••• · Memberdirect · owns 25% to 50%
- K• S••••• H••••••• L•••••• · Memberindirect · owns 75% or more of K• S••••• C••••• L••••••
- P•••• • P••••••• C•••••• F••• I•• C• I• B••••••• L•• · Memberindirect · owns 50% to 75% of F• I•• E•• H•••••• L••
- P•••• • P••••••• C•••••• F••• I•• C• I• L••• · Sole Shareholderindirect · owns 75% or more of P•••• • P••••••• C•••••• F••• I•• C• I• B••••••• L••
- P•••• • P••••••• C•••••• F••• I•• C• I•• L•• · Memberindirect · owns 25% to 50% of F• I•• E•• H•••••• L••
- P•••• • P••••••• C•••••• F••• I•• G•• L•• · General Partnerindirect · owns F of P•••• • P••••••• C•••••• F••• I•• C• I•• L••.
- P•••• • P••••••• C•••••• F••• I•• G•• L••• · General Partnerindirect · owns F of P•••• • P••••••• C•••••• F••• I•• C• I• L•••
- P•••• • P••••••• C•••••• F••• I•• G•• L••• · General Partnerindirect · owns F of P•••• • P••••••• C•••••• F••• I•• G•• L•••
Related persons
Schedule D 7.A
- C• H•••• M••••••••• L••investment adviserpooled vehicle sponsorn
- P•••• S••••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $5.2B
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- San Mateo, CA1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $206M to $256MMar 4, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $206M to $256MMar 4, 2025 to Mar 11, 2026
- RAUM · $206M to $256MMar 4, 2025 to Mar 11, 2026
- Financial planning clients · unset to Mar 15, 2024 to Mar 4, 2025
- HQ city · unset to Mar 15, 2024 to Mar 4, 2025
- HQ state · unset to Mar 15, 2024 to Mar 4, 2025
- Discretionary RAUM · $223M to $206MMar 15, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $223M to $206MMar 15, 2024 to Mar 4, 2025
- RAUM · $223M to $206MMar 15, 2024 to Mar 4, 2025
- HQ city · FAIRFIELD to unsetMar 24, 2023 to Mar 15, 2024
- HQ state · NJ to unsetMar 24, 2023 to Mar 15, 2024
- Discretionary RAUM · $196M to $223MMar 24, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $196M to $223MMar 24, 2023 to Mar 15, 2024
- RAUM · $196M to $223MMar 24, 2023 to Mar 15, 2024
- Advisory employees · 0 to 2Feb 28, 2022 to Mar 24, 2023
- Employees · 0 to 3Feb 28, 2022 to Mar 24, 2023
- HQ city · NEW YORK to FAIRFIELDFeb 28, 2022 to Mar 24, 2023
- HQ state · NY to NJFeb 28, 2022 to Mar 24, 2023
- Other offices · 0 to 2Feb 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $255M to $196MFeb 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $255M to $196MFeb 28, 2022 to Mar 24, 2023
- RAUM · $255M to $196MFeb 28, 2022 to Mar 24, 2023
- Employees · 1 to 0Mar 4, 2021 to Feb 28, 2022
- Discretionary RAUM · $127M to $255MMar 4, 2021 to Feb 28, 2022
- Pooled vehicle RAUM · $127M to $255MMar 4, 2021 to Feb 28, 2022
- RAUM · $127M to $255MMar 4, 2021 to Feb 28, 2022
- HQ city · BROOKLYN to NEW YORKSep 14, 2020 to Mar 4, 2021
- Discretionary RAUM · $239M to $127MSep 14, 2020 to Mar 4, 2021
- Pooled vehicle RAUM · $239M to $127MSep 14, 2020 to Mar 4, 2021
- RAUM · $239M to $127MSep 14, 2020 to Mar 4, 2021
- HQ city · NEW YORK to BROOKLYNFeb 19, 2020 to Sep 14, 2020
- Discretionary RAUM · $291M to $239MFeb 20, 2019 to Feb 19, 2020
- Pooled vehicle RAUM · $291M to $239MFeb 20, 2019 to Feb 19, 2020
- RAUM · $291M to $239MFeb 20, 2019 to Feb 19, 2020
- Discretionary RAUM · $281M to $291MFeb 22, 2018 to Feb 20, 2019
- Pooled vehicle RAUM · $281M to $291MFeb 22, 2018 to Feb 20, 2019
- RAUM · $281M to $291MFeb 22, 2018 to Feb 20, 2019
- Accounts · 2 to 1Mar 10, 2017 to Feb 22, 2018
- Charity clients · unset to 0.0Mar 10, 2017 to Feb 22, 2018
- Corporate clients · unset to 0.0Mar 10, 2017 to Feb 22, 2018
Signals
8 dated events
- Wing Yiu Laurence Cheng (Member Of The Board Of Managers) no longer on Schedule A of C•••••• Z• A•••• M••••••••• L•• (listed 2022-02-28, absent 2023-03-24)Mar 24, 2023 · Control person left · inference
- Lombardi Renata Malavazzi (Chief Compliance Officer / General Counsel) no longer on Schedule A of C•••••• Z• A•••• M••••••••• L•• (listed 2022-02-28, absent 2023-03-24)Mar 24, 2023 · Control person left · inference
- Jeffrey Bergman (Chief Compliance Officer / Member Of The Board Of Managers) appeared on Schedule A of C•••••• Z• A•••• M••••••••• L••Mar 24, 2023 · Control person joined · fact
- C•••••• Z• A•••• M••••••••• L•• reported RAUM $254.6M, up 101% from $126.6M (2021-03-04 to 2022-02-28)Feb 28, 2022 · RAUM change · derived
- C•••••• Z• A•••• M••••••••• L•• reported RAUM $126.6M, down 47% from $239.3M (2020-09-14 to 2021-03-04)Mar 4, 2021 · RAUM change · derived
- Lombardi Renata Malavazzi (Chief Compliance Officer / General Counsel) appeared on Schedule A of C•••••• Z• A•••• M••••••••• L••Sep 14, 2020 · Control person joined · fact
- Monk Robert Meyer (Chief Compliance Officer) appeared on Schedule A of C•••••• Z• A•••• M••••••••• L••Feb 19, 2020 · Control person joined · fact
- C•••••• Z• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 23, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• Z• A•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 646-469-8046reportedpublic record, Form ADV, Mar 11, 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