DFX Intelligence
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Former SEC-registered adviser
B••••••••• A•••• M••••••••• P••• L•••
Latest filing May 17, 2017
First filing on the tape Mar 26, 2014 · 9 filings
RAUM
$81.0M
reported, Item 5.F
Discretionary
13%
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$10.1M gross assets
History
9 filings and snapshots on the tape
RAUM$81.0M as of Feb 27, 2017
Mar 30, 2015$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 27, 2017
Mar 30, 20150 then
Employees (5.A)9 as of Feb 27, 2017
Mar 30, 201511 then
Private funds1 as of Feb 27, 2017
Mar 30, 20153 then
RAUM +10.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 17, 2017; 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
- $27.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%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
- +10.0%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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• B••••••••• E••••••• E••••••••• M••••• F••• | Other Private Fund | $10.1M | 18 | Mar 26, 2014 |
| T•• B••••••••• E••••••• V•••••• I••no longer reported | Hedge Fund | $2.2M | 23 | Mar 26, 2014 |
| B••• 2•no longer reported | Other Private Fund | $97,500 | 31 | Mar 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C••••• S••• P•••• · Chief Operating Officer And Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
- E••••• J•••• F•••••• · Chief Executive Officercontrolsince 12/2001 · owns 50% to 75%
- E••••• J•••• F•••••• · Shareholdercontrolsince 02/2003 · owns 75% or more of H••••••• E••••••••• L••••••
Entity owners
- H••••••• E••••••••• L•••••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Ho Chi Minh City, Vietnam
What changed
consecutive filings, newest first
- Assets in custody · unset to 10126677.0Mar 28, 2016 to Feb 27, 2017
- Employees · 10 to 9Mar 28, 2016 to Feb 27, 2017
- Discretionary RAUM · $10.7M to $10.1MMar 28, 2016 to Feb 27, 2017
- Non-discretionary RAUM · $63.0M to $70.9MMar 28, 2016 to Feb 27, 2017
- RAUM · $73.7M to $81.0MMar 28, 2016 to Feb 27, 2017
- Accounts · 4 to 3Mar 30, 2015 to Mar 28, 2016
- Employees · 11 to 10Mar 30, 2015 to Mar 28, 2016
- Private funds · 3 to 1Mar 30, 2015 to Mar 28, 2016
- Discretionary RAUM · $117M to $10.7MMar 30, 2015 to Mar 28, 2016
- Non-discretionary RAUM · $0 to $63.0MMar 30, 2015 to Mar 28, 2016
- RAUM · $117M to $73.7MMar 30, 2015 to Mar 28, 2016
- Accounts · 6 to 4Sep 17, 2014 to Mar 30, 2015
- Advisory employees · 3 to 4Sep 17, 2014 to Mar 30, 2015
- Employees · 12 to 11Sep 17, 2014 to Mar 30, 2015
- Discretionary RAUM · $116M to $117MSep 17, 2014 to Mar 30, 2015
- RAUM · $116M to $117MSep 17, 2014 to Mar 30, 2015
Signals
1 dated events
- ••• LockedMar 26, 2014 · 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