DFX Intelligence

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Former SEC-registered adviser

A•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 165220SEC 801-77232IAPD

Latest filing Mar 27, 2019

First filing on the tape Oct 3, 2012 · 13 filings

RAUM

$627M

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

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$244M gross assets

History

13 filings and snapshots on the tape

RAUM$627M as of Mar 27, 2019

Mar 28, 2013$40.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2019

Mar 28, 20130 then

Employees (5.A)12 as of Mar 27, 2019

Mar 28, 20137 then

Private funds3 as of Mar 27, 2019

Mar 28, 20133 then

RAUM +47% over the last fiscal year+56% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2019; 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: $105MderivedRAUM 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: +47%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: $174M, 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)
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$627M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $174M 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A•• Q••••••••• G••••• S• I• L•••	Hedge Fund	$174M	2	Mar 31, 2014
A•••••• Q••••••••• G••••• F••• L•	Hedge Fund	$39.9M	14	Oct 1, 2012
A•••••• Q••••••••• G••••• F••• L•••	Hedge Fund	$30.0M	3	Oct 1, 2012
A•• Q••••••••• G••••• S• L•no longer reported	Hedge Fund	$23.3M	2	Oct 1, 2012

Owners and control persons

Schedule A and B, latest filing

C•••••• A•••••• B••••••• · Chief Financial Officer, Chief Compliance Officer, And Chief Operating Officercontrol
since 09/2012 · owns less than 5%
W•••• H••••••••• E•••• · Managing Membercontrol
since 09/2011 · owns 75% or more
S•••• V••••• •• M••••• N•••• · Member
since 04/2016 · owns 5% to 10%
T•••••• W••••••• M•••• · Member
since 04/2016 · owns 10% to 25%

Related persons

Schedule D 7.A

A•••••• I••••••••• M••••••••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 7 to 9
Mar 29, 2018 to Mar 27, 2019
Assets in custody · $165M to $174M
Mar 29, 2018 to Mar 27, 2019
Employees · 10 to 12
Mar 29, 2018 to Mar 27, 2019
Discretionary RAUM · $428M to $627M
Mar 29, 2018 to Mar 27, 2019
Pooled vehicle RAUM · $428M to $627M
Mar 29, 2018 to Mar 27, 2019
RAUM · $428M to $627M
Mar 29, 2018 to Mar 27, 2019
Accounts · 5 to 6
Sep 25, 2017 to Mar 29, 2018
Advisory employees · 6 to 7
Sep 25, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 6.0
Sep 25, 2017 to Mar 29, 2018
Assets in custody · $89.1M to $165M
Sep 25, 2017 to Mar 29, 2018
Employees · 9 to 10
Sep 25, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Sep 25, 2017 to Mar 29, 2018
Discretionary RAUM · $253M to $428M
Sep 25, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 428162000.0
Sep 25, 2017 to Mar 29, 2018
RAUM · $253M to $428M
Sep 25, 2017 to Mar 29, 2018
Accounts · 4 to 5
Apr 14, 2016 to Mar 27, 2017
Advisory employees · 7 to 6
Apr 14, 2016 to Mar 27, 2017
Assets in custody · $59.2M to $89.1M
Apr 14, 2016 to Mar 27, 2017
Employees · 10 to 9
Apr 14, 2016 to Mar 27, 2017
Discretionary RAUM · $167M to $253M
Apr 14, 2016 to Mar 27, 2017
RAUM · $167M to $253M
Apr 14, 2016 to Mar 27, 2017
Advisory employees · 5 to 7
Apr 24, 2015 to Mar 30, 2016
Assets in custody · $55.0M to $59.2M
Apr 24, 2015 to Mar 30, 2016
Employees · 8 to 10
Apr 24, 2015 to Mar 30, 2016
Discretionary RAUM · $151M to $167M
Apr 24, 2015 to Mar 30, 2016
RAUM · $151M to $167M
Apr 24, 2015 to Mar 30, 2016
Accounts · 5 to 4
Mar 31, 2014 to Mar 31, 2015
Advisory employees · 7 to 5
Mar 31, 2014 to Mar 31, 2015
Assets in custody · $53.4M to $55.0M
Mar 31, 2014 to Mar 31, 2015
Employees · 10 to 8
Mar 31, 2014 to Mar 31, 2015
Private funds · 4 to 3
Mar 31, 2014 to Mar 31, 2015
Discretionary RAUM · $284M to $151M
Mar 31, 2014 to Mar 31, 2015
RAUM · $284M to $151M
Mar 31, 2014 to Mar 31, 2015
Related bank · false to true
Mar 31, 2014 to Mar 31, 2015
Accounts · 3 to 5
Mar 3, 2014 to Mar 31, 2014
Advisory employees · 5 to 7
Mar 3, 2014 to Mar 31, 2014
Assets in custody · unset to 53400000.0
Mar 3, 2014 to Mar 31, 2014
Custody of client assets · false to true
Mar 3, 2014 to Mar 31, 2014
Employees · 7 to 10
Mar 3, 2014 to Mar 31, 2014
Private funds · 3 to 4
Mar 3, 2014 to Mar 31, 2014

Signals

3 dated events

A•••••• I••••••••• M••••••••• L•• reported RAUM $627.4M, up 47% from $428.2M (2018-03-29 to 2019-03-27)
Mar 27, 2019 · RAUM change · derived
A•••••• I••••••••• M••••••••• L•• reported RAUM $428.2M, up 69% from $252.7M (2017-09-25 to 2018-03-29)
Mar 29, 2018 · RAUM change · derived
A•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Oct 3, 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