DFX Intelligence

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Former SEC-registered adviser

A••••••••• R••••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 285519SEC 801-108514IAPD

Latest filing Mar 11, 2020

First filing on the tape Oct 6, 2016 · 11 filings

RAUM

$2.2B

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

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$2.2B gross assets

History

11 filings and snapshots on the tape

RAUM$2.2B as of Mar 11, 2020

Feb 2, 2017$116M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 11, 2020

Feb 2, 20170 then

Employees (5.A)4 as of Mar 11, 2020

Feb 2, 20174 then

Private funds1 as of Mar 11, 2020

Feb 28, 20191 then

RAUM +60% over the last fiscal year+166% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 11, 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: $2.2BderivedRAUM 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: +60%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$2.2B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
P•• M•••••• F•••• S••• • S••••••••• P•••••••• 2••	Hedge Fund	$2.2B	12	Feb 1, 2017

Owners and control persons

Schedule A and B, latest filing

G•••••••• M••••••• A•••••• · Chief Compliance Officer And Chief Operating Officercontrol
since 07/2018 · owns less than 5%
H••••••••• C•••••• C••••••• · Chief Executive Officer, Limited Partnercontrol
since 09/2016 · owns 75% or more

Entity owners

A••••••••• R••••••• C•••••• M••••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $1.4B to $2.2B
Apr 9, 2019 to Mar 11, 2020
Pooled vehicle RAUM · $1.4B to $2.2B
Apr 9, 2019 to Mar 11, 2020
RAUM · $1.4B to $2.2B
Apr 9, 2019 to Mar 11, 2020
Discretionary RAUM · $1.5B to $1.4B
Jul 6, 2018 to Feb 28, 2019
Pooled vehicle RAUM · $1.5B to $1.4B
Jul 6, 2018 to Feb 28, 2019
RAUM · $1.5B to $1.4B
Jul 6, 2018 to Feb 28, 2019
Private funds · unset to 1
Jan 30, 2018 to Feb 8, 2018
Pooled vehicle clients · unset to 1.0
Jun 5, 2017 to Jan 30, 2018
Other offices · unset to 0.0
Jun 5, 2017 to Jan 30, 2018
Discretionary RAUM · $116M to $1.5B
Jun 5, 2017 to Jan 30, 2018
Pooled vehicle RAUM · unset to 1461883000.0
Jun 5, 2017 to Jan 30, 2018
RAUM · $116M to $1.5B
Jun 5, 2017 to Jan 30, 2018
Accounts · unset to 1.0
Nov 14, 2016 to Feb 2, 2017
Advisory activities · 3 to 4
Nov 14, 2016 to Feb 2, 2017
Employees · 3 to 4
Nov 14, 2016 to Feb 2, 2017
Discretionary RAUM · unset to 115890000.0
Nov 14, 2016 to Feb 2, 2017
Non-discretionary RAUM · unset to 0.0
Nov 14, 2016 to Feb 2, 2017
RAUM · unset to 115890000.0
Nov 14, 2016 to Feb 2, 2017
Employees · 2 to 3
Oct 6, 2016 to Nov 14, 2016

Signals

3 dated events

••• Locked
Mar 11, 2020 · RAUM change · derived
••• Locked
Jan 30, 2018 · RAUM change · derived
••• Locked
Oct 6, 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.

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