DFX Intelligence

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C••••••••• C•••••• L••

Asset manager (funds and pooled vehicles)SEC-registered3 private funds· Menlo Park, Californiawebsite

Asset manager (funds and pooled vehicles), based in Menlo Park, California, reporting $294M of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $294M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +41%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +41% over the last fiscal year, to $294M.
2026-03-31
RAUM a year earlier $208MRAUM now $294M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 174528 · SEC 801-130132 · 4 filingsShow

CRD 174528SEC 801-130132First filing on the tape Mar 29, 2024, latest Mar 31, 2026SEC status approved since Apr 30, 2024IAPD

RAUM

$294M

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

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$294M as of Mar 31, 2026

Mar 28, 2025$208M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 28, 20250 then

Employees (5.A)2 as of Mar 31, 2026

Mar 28, 20253 then

Private funds3 as of Mar 31, 2026

Mar 28, 20253 then

RAUM +41% over the last fiscal yearIARs 0 to 0offices 1 to 0

Practice profile

derived from the filing of Mar 31, 2026; 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: $97.9MderivedRAUM 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: +41%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: $286M, 3 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)
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$294M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $286M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
C••••••••• P••••••• L•	Hedge Fund	$172M	28	Mar 29, 2024
C••••••••• I••••••••• L•••	Hedge Fund	$95.5M	6	Mar 29, 2024
C••••••••• P•••••• O••••••••• F••• L•	Private Equity Fund	$25.8M	6	Mar 31, 2026

Owners and control persons

Schedule A and B, latest filing

D•••••••• L•••••• P•••••• · Cco, Director Of Financecontrol
since 03/2024 · owns less than 5%
G••••••••• S••••• K•••• · Managing Membercontrol
since 06/2014 · owns 75% or more
K••••• E•••••• B•••• · Membercontrol
since 07/2023 · owns 25% to 50%

Related persons

Schedule D 7.A

C••••••••• G••••• P••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 2 to 1
Jul 24, 2025 to Mar 31, 2026
Assets in custody · $208M to $286M
Jul 24, 2025 to Mar 31, 2026
Employees · 3 to 2
Jul 24, 2025 to Mar 31, 2026
Discretionary RAUM · $208M to $294M
Jul 24, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $208M to $294M
Jul 24, 2025 to Mar 31, 2026
RAUM · $208M to $294M
Jul 24, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 28, 2025 to Jul 24, 2025
Other offices · 1 to 0
Mar 28, 2025 to Jul 24, 2025
Accounts · 2 to 3
Mar 29, 2024 to Mar 28, 2025
Pooled vehicle clients · 2 to 3
Mar 29, 2024 to Mar 28, 2025
Assets in custody · $158M to $208M
Mar 29, 2024 to Mar 28, 2025
Private funds · 2 to 3
Mar 29, 2024 to Mar 28, 2025
Discretionary RAUM · $158M to $208M
Mar 29, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $158M to $208M
Mar 29, 2024 to Mar 28, 2025
RAUM · $158M to $208M
Mar 29, 2024 to Mar 28, 2025

Signals

3 dated events

••• Locked
Mar 31, 2026 · ria p•••••• fund assets change · fact
••• Locked
Mar 31, 2026 · p•••••• fund first reported · fact
••• Locked
Mar 29, 2024 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C••••••••• C•••••• L•• · Independent Sponsors
shared crd · capital_provider
C••••••••• C•••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 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