DFX Intelligence

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B••••• A•••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· Santa Monica, California

Asset manager (funds and pooled vehicles), based in Santa Monica, California, reporting $198M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $198M
Advisors: 0
RAUM change, 1 year: +17%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+17.3%
RAUM, one year
RAUM $168M to $198M (+17.3%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 168688 · SEC 801-112905 · 15 filingsShow

CRD 168688SEC 801-112905First filing on the tape Mar 21, 2018, latest Mar 30, 2026SEC status approved since Apr 19, 2018IAPD

RAUM

$198M

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

Not computed

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM -10% a year over three years · the tape starts Mar 21, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$198M as of Mar 30, 2026

Mar 20, 2019$92.1M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 20, 20190 then

Employees (5.A)7 as of Mar 30, 2026

Mar 20, 20196 then

Private funds2 as of Mar 30, 2026

Mar 20, 20191 then

RAUM +17% over the last fiscal year-10% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $49.4MderivedRAUM 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: +17%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

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)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$198M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
B••••• 2• F•••	Hedge Fund	$178M	45	Mar 21, 2018
P••••••••• A•••• G••••• S••••• F••• S•• • P••••••••• A•••• X• S••••••••• P••••••••	Hedge Fund	$20.1M	1	Mar 30, 2026

Owners and control persons

Schedule A and B, latest filing

L••••• H•••••••• K••••••• · Chief Compliance Officercontrol
since 05/2023 · owns less than 5%
S•••••• R•••••• B•••• · Managercontrol
since 04/2013 · owns less than 5%
B••••• B••••••• L• · Member Of The Direct Ownercontrol
since 06/2022 · owns 50% to 75% of B••••• H••••••• L••
S•••••• R•••••• B•••• · Member Of The Direct Ownercontrol
since 06/2022 · owns 25% to 50% of B••••• H••••••• L••

Entity owners

B••••• H••••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

B••••• R••••••• J•••• K•••
investment advisery

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

Accounts · 3 to 4
Mar 28, 2025 to Mar 30, 2026
Pooled vehicle clients · 3 to 4
Mar 28, 2025 to Mar 30, 2026
Employees · 6 to 7
Mar 28, 2025 to Mar 30, 2026
Private funds · 1 to 2
Mar 28, 2025 to Mar 30, 2026
Discretionary RAUM · $168M to $198M
Mar 28, 2025 to Mar 30, 2026

Full history · 43 changes

Pooled vehicle RAUM · $168M to $198M
Mar 28, 2025 to Mar 30, 2026
RAUM · $168M to $198M
Mar 28, 2025 to Mar 30, 2026
Financial planning clients · unset to
Sep 4, 2024 to Mar 28, 2025
Discretionary RAUM · $203M to $168M
Sep 4, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $203M to $168M
Sep 4, 2024 to Mar 28, 2025
RAUM · $203M to $168M
Sep 4, 2024 to Mar 28, 2025
HQ city · BURLINGAME to SANTA MONICA
May 8, 2023 to Feb 15, 2024
Discretionary RAUM · $273M to $203M
May 8, 2023 to Feb 15, 2024
Pooled vehicle RAUM · $273M to $203M
May 8, 2023 to Feb 15, 2024
RAUM · $273M to $203M
May 8, 2023 to Feb 15, 2024
Discretionary RAUM · $258M to $273M
Jun 20, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $258M to $273M
Jun 20, 2022 to Mar 31, 2023
RAUM · $258M to $273M
Jun 20, 2022 to Mar 31, 2023
Assets in custody · 229381758.0 to unset
Mar 31, 2022 to Jun 20, 2022
Discretionary RAUM · $229M to $258M
Mar 31, 2022 to Jun 20, 2022
Pooled vehicle RAUM · $229M to $258M
Mar 31, 2022 to Jun 20, 2022
RAUM · $229M to $258M
Mar 31, 2022 to Jun 20, 2022
Related bank · true to false
Mar 31, 2022 to Jun 20, 2022
Related broker-dealer · true to false
Mar 31, 2022 to Jun 20, 2022
Assets in custody · $134M to $229M
Mar 29, 2021 to Mar 31, 2022
Discretionary RAUM · $134M to $229M
Mar 29, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $134M to $229M
Mar 29, 2021 to Mar 31, 2022
RAUM · $134M to $229M
Mar 29, 2021 to Mar 31, 2022
Accounts · 4 to 3
Jun 16, 2020 to Mar 29, 2021
Pooled vehicle clients · 4 to 3
Jun 16, 2020 to Mar 29, 2021
Assets in custody · unset to 134036829.0
Jun 16, 2020 to Mar 29, 2021
Discretionary RAUM · $101M to $134M
Jun 16, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $101M to $134M
Jun 16, 2020 to Mar 29, 2021
RAUM · $101M to $134M
Jun 16, 2020 to Mar 29, 2021
Discretionary RAUM · $92.1M to $101M
Sep 16, 2019 to Mar 25, 2020
Pooled vehicle RAUM · $92.1M to $101M
Sep 16, 2019 to Mar 25, 2020
RAUM · $92.1M to $101M
Sep 16, 2019 to Mar 25, 2020
Accounts · 5 to 4
Mar 21, 2018 to Mar 20, 2019
Pooled vehicle clients · 5 to 4
Mar 21, 2018 to Mar 20, 2019
Employees · 5 to 6
Mar 21, 2018 to Mar 20, 2019
Discretionary RAUM · $174M to $92.1M
Mar 21, 2018 to Mar 20, 2019
Pooled vehicle RAUM · $174M to $92.1M
Mar 21, 2018 to Mar 20, 2019
RAUM · $174M to $92.1M
Mar 21, 2018 to Mar 20, 2019

Signals

6 dated events

••• Locked
Mar 30, 2026 · private fund first reported · fact
••• Locked
May 8, 2023 · Control person joined · fact
••• Locked
Jun 20, 2022 · Control person joined · fact
••• Locked
Jun 20, 2022 · Control person left · inference
••• Locked
Jun 16, 2020 · Control person joined · fact

Full timeline · 6 events

••• Locked
Mar 21, 2018 · 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.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.