DFX Intelligence

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A••••• L••

Former SEC-registered adviserFormer SEC adviser· Zug

Former SEC-registered adviser, based in Zug.

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

As of 2019-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2019-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 283642 · SEC 801-107953 · 8 filingsShow

CRD 283642SEC 801-107953First filing on the tape Jun 2, 2016, latest Mar 27, 2019IAPD

RAUM

Not disclosed

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

Filed figures over time · the tape starts Jun 2, 2016

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

RAUM: no history

HNW client RAUM: no history

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

Feb 2, 20170 then

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

Feb 2, 20175 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2019; 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived3 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 assetsreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: n/areported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• D•••••• T••••• · Chief Compliance Officer, Presidentcontrol
since 12/2014 · owns less than 5%
A••••• D•••••• T••••• · Membercontrol
since 01/2018 · owns 75% or more of P•••• M••••••••• L••

Entity owners

P•••• M••••••••• L•• · Member
direct · owns 75% or more
C••••• W••••• T•••• · Member
direct · owns less than 5%
R•• C••••• S•••• F••• · Member
direct · owns less than 5%
T••••••• S••••••••• F••• · Member
direct · owns less than 5%

Ownership changes

14 Schedule A changes between consecutive filings, latest first

Removed C••••••••• W••••• C•••• · Member
filing of May 29, 2018, against May 15, 2018 · owns 5 to 10%
Added C••••• W••••• T•••• · Member
filing of Mar 26, 2018, against Sep 29, 2017 · owns under 5% · entity
Added P•••• M••••••••• L•• · Member control
filing of Mar 26, 2018, against Sep 29, 2017 · owns 75% or more · entity
Added R•• C••••• S•••• F••• · Member
filing of Mar 26, 2018, against Sep 29, 2017 · owns under 5% · entity
Added T••••••• S••••••••• F••• · Member
filing of Mar 26, 2018, against Sep 29, 2017 · owns under 5% · entity

12 latest of 14 changes

Added C••••••••• W••••• C•••• · Member
filing of Mar 26, 2018, against Sep 29, 2017 · owns 5 to 10%
Removed A••••• G••••• G••• · Member control
filing of Mar 26, 2018, against Sep 29, 2017 · owns 75% or more · entity
Removed A••••••••• B••• · Owner control
filing of Mar 26, 2018, against Sep 29, 2017 · owns 50 to 75% · entity
Removed R•••• L••••••• Y••• · Director control
filing of Mar 26, 2018, against Sep 29, 2017 · owns 75% or more
Removed R••••• R••••••••• · Director control
filing of Mar 26, 2018, against Sep 29, 2017 · owns 50 to 75%
Removed S•••• K••• B••• · Member control
filing of Mar 26, 2018, against Sep 29, 2017 · owns 25 to 50% · entity
Removed C•••••••• S••••• · Director control
filing of Mar 26, 2018, against Sep 29, 2017 · owns 50 to 75%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Malvern East Vic 3145, Australia1 employee

What changed

consecutive filings, newest first

Advisory employees · 1 to 2
Sep 29, 2017 to Mar 26, 2018
Other offices · unset to 2.0
Sep 29, 2017 to Mar 26, 2018
HQ city · DUBLIN 8 to ZUG
Feb 2, 2017 to Sep 29, 2017
Succession · true to false
Jun 2, 2016 to Jul 5, 2016

Signals

2 dated events

••• Locked
Jun 2, 2016 · Succession (Item 4) · fact
••• Locked
Jun 2, 2016 · 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

2 earlier addresses on Form ADV filings, the earliest seen Mar 27, 2019

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: Former SEC-registered adviserderiveda 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: private clients.