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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Former SEC-registered adviser

C••••••• M••••••••• L••

Former SEC-registered adviserCRD 282026SEC 801-115187IAPD
Latest filing Jul 30, 2020
First filing on the tape Mar 31, 2019 · 6 filings
RAUM
$108M
reported, Item 5.F
Discretionary
74%
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
$79.4M gross assets
History
6 filings and snapshots on the tape
RAUM$108M as of Jul 30, 2020
Mar 31, 2019$292M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2020
Mar 31, 20190 then
Employees (5.A)6 as of Jul 30, 2020
Mar 31, 20195 then
Private funds8 as of Jul 30, 2020
Mar 31, 201922 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 30, 2020; 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
$12.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
74%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
unknownderivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$79.4M, 8 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
  • 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$108M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$79.4M for 8 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 departureEvery arrival
      Private funds
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• K•••••••• O••••••••• L•••Private Equity Fund$55.3M1Mar 30, 2019
      C••••••• C•••••• F••• S••• L••• • I••••••••• C•••• 6•Private Equity Fund$42.2M68Mar 28, 2018
      C••••••• G••••• P•••••••• 2•••• L•••Private Equity Fund$26.7M170Mar 28, 2018
      C••••••• C•••••• C••••••••• L••• • I••••••••• C•••• 3•Private Equity Fund$25.2M54Jun 6, 2017
      C••••••• C•••••• C••••••••• L••• • I••••••••• C•••• 4•Private Equity Fund$21.4M33Jun 6, 2017
      C••••••• C•••••• F••• S••• L••• • I••••••••• C•••• 7•Private Equity Fund$14.1M68Mar 30, 2019
      C••••••• C•••••• F••• S••• L••• • I••••••••• C•••• 9•Private Equity Fund$12.3M87May 3, 2019
      C••••••• C•••••• F••• S••• L••• • I••••••••• C•••• 2•Private Equity Fund$11.9M27Jun 6, 2017
      C••••••• G••••• P•••••••• 2•••• L•••Private Equity Fund$10.5M39Mar 30, 2020
      C••••••• C•••••• C••••••••• L••• • I••••••••• C•••• 8•Private Equity Fund$10.1M22Mar 30, 2019
      C••••••• C•••••• C••••••••• L••• • I••••••••• C•••• 1•Private Equity Fund$8.6M14Mar 30, 2020
      C••••••• C•••••• F••• S••• L••• • I••••••••• C•••• 5•Private Equity Fund$7.6M16Jun 6, 2017
      C••••••• O••••••••• 2•••••• L•••Private Equity Fund$7.5M41Mar 31, 2021
      P••• S••••• V•••••• G•••••• L••Private Equity Fund$7.2M71Jan 27, 2017
      C••••••• C•••••• C••••••••• L••• • I••••••••• C•••• 1•Private Equity Fund$7.0M34Mar 30, 2020
      C••••••• C•••••• F••• S••• L••• • I••••••••• C•••• M••••Private Equity Fund$3.1M33Mar 30, 2019
      C••••••• C•••••• C••••••••• L••• • I••••••••• C•••• 1•Private Equity Fund$46,2921Jun 6, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• K•••• C•••••• · Managing Director, Managing Member, Chief Compliance Officercontrol
        since 11/2015 · owns 75% or more
      • G•••••• B••••• C••••• · Advisor
        since 08/2017 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Taguig, Philippines3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 9
        Sep 23, 2019 to Mar 30, 2020
      • Advisory employees · 3 to 4
        Sep 23, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 14 to 9
        Sep 23, 2019 to Mar 30, 2020
      • Assets in custody · $0 to $79.4M
        Sep 23, 2019 to Mar 30, 2020
      • Employees · 5 to 6
        Sep 23, 2019 to Mar 30, 2020
      • Private funds · 12 to 8
        Sep 23, 2019 to Mar 30, 2020
      • Discretionary RAUM · $235M to $79.4M
        Sep 23, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $56.8M to $28.2M
        Sep 23, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $292M to $108M
        Sep 23, 2019 to Mar 30, 2020
      • RAUM · $292M to $108M
        Sep 23, 2019 to Mar 30, 2020
      • Accounts · 13 to 14
        Jul 4, 2019 to Sep 23, 2019
      • Pooled vehicle clients · 13 to 14
        Jul 4, 2019 to Sep 23, 2019
      • Assets in custody · unset to 0.0
        May 3, 2019 to Jul 4, 2019
      • Custody of client assets · false to true
        May 3, 2019 to Jul 4, 2019
      • HQ city · TAGUIG to unset
        May 3, 2019 to Jul 4, 2019
      • Other offices · 0 to 1
        May 3, 2019 to Jul 4, 2019
      • Private funds · 22 to 12
        Mar 31, 2019 to May 3, 2019
      Signals
      4 dated events
      • Paris Andrew Dipkin (Chief Operating Officer, Chief Compliance Officer) no longer on Schedule A of C••••••• M••••••••• L•• (listed 2020-03-30, absent 2020-07-30)
        Jul 30, 2020 · Control person left · inference
      • Paris Andrew Dipkin (Chief Operating Officer, Chief Compliance Officer) appeared on Schedule A of C••••••• M••••••••• L••
        Mar 30, 2020 · Control person joined · fact
      • C••••••• M••••••••• L•• reported RAUM $107.6M, down 63% from $291.6M (2019-09-23 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • C••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 31, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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