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••••• B••••• M••••••••• C••••

Former SEC-registered adviserMenlo Park, CaliforniaCRD 285595SEC 801-109938IAPD
Latest filing Jun 28, 2019
First filing on the tape Jan 26, 2017 · 19 filings
RAUM
$693M
reported, Item 5.F
Discretionary
0.0%
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
12
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$1.5B gross assets
History
19 filings and snapshots on the tape
RAUM$693M as of Mar 29, 2019
Apr 2, 2018$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Apr 2, 20180 then
Employees (5.A)12 as of Mar 29, 2019
Apr 2, 201819 then
Private funds1 as of Mar 29, 2019
Apr 2, 20181 then
RAUM -54% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 28, 2019; 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
$693MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, 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
-54%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • 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$693M100%
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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• B••••• F••• I• L•Private Equity Fund$1.5B2Nov 2, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• H••••• R•••••• · Shareholder; Director; Co-Presidentcontrol
        since 12/2016 · owns 25% to 50%
      • G••••••• M••••••• A•••••• · Chief Accounting Officercontrol
        since 11/2017 · owns less than 5%
      • K••• H•••• J••• · Shareholder; Directorcontrol
        since 12/2016 · owns 25% to 50%
      • K••• P••••• C••• · Shareholder; Director; Co-Presidentcontrol
        since 04/2017 · owns 25% to 50%
      • R••••• C•••• M••••• · Chief Compliance Officercontrol
        since 02/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list C••••• B••••• M••••••••• C•••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Beijing, China1 employees
      • Hong Kong, H••• Kong1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 9
        Feb 4, 2019 to Mar 29, 2019
      • Employees · 19 to 12
        Feb 4, 2019 to Mar 29, 2019
      • Discretionary RAUM · $1.5B to $0
        Feb 4, 2019 to Mar 29, 2019
      • Non-discretionary RAUM · $0 to $693M
        Feb 4, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.5B to $693M
        Feb 4, 2019 to Mar 29, 2019
      • RAUM · $1.5B to $693M
        Feb 4, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.0B to $1.5B
        Nov 8, 2018 to Nov 9, 2018
      • Discretionary RAUM · $1.1B to $1.5B
        Nov 7, 2018 to Nov 8, 2018
      • RAUM · $1.1B to $1.5B
        Nov 7, 2018 to Nov 8, 2018
      • Discretionary RAUM · $0 to $1.1B
        Oct 30, 2018 to Nov 7, 2018
      • Non-discretionary RAUM · $1.5B to $0
        Oct 30, 2018 to Nov 7, 2018
      • Pooled vehicle RAUM · $1.5B to $1.0B
        Oct 30, 2018 to Nov 7, 2018
      • RAUM · $1.5B to $1.1B
        Oct 30, 2018 to Nov 7, 2018
      • Advisory employees · 4 to 11
        Jan 26, 2018 to Apr 2, 2018
      • Employees · 21 to 19
        Jan 26, 2018 to Apr 2, 2018
      • Related adviser · true to false
        Jan 26, 2018 to Apr 2, 2018
      • HQ city · PALO ALTO to MENLO PARK
        Nov 30, 2017 to Jan 26, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 4, 2017 to Nov 30, 2017
      • Employees · 4 to 21
        Aug 4, 2017 to Nov 30, 2017
      • Other offices · unset to 2.0
        Aug 4, 2017 to Nov 30, 2017
      • Pooled vehicle RAUM · unset to 1515151515.0
        Aug 4, 2017 to Nov 30, 2017
      • HQ city · BEIJING to PALO ALTO
        May 22, 2017 to Aug 4, 2017
      • HQ state · unset to CA
        May 22, 2017 to Aug 4, 2017
      • Advisory employees · 2 to 4
        Feb 15, 2017 to May 22, 2017
      • Employees · 2 to 4
        Feb 15, 2017 to May 22, 2017
      • Private funds · 2 to 1
        Jan 26, 2017 to Feb 15, 2017
      Signals
      6 dated events
      • C••••• B••••• M••••••••• C•••• reported RAUM $693.3M, down 54% from $1.5B (2019-02-04 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Marion Carl Rizzo (Chief Compliance Officer) appeared on Schedule A of C••••• B••••• M••••••••• C••••
        Mar 29, 2019 · Control person joined · fact
      • Ann Marie Swanson (Chief Compliance Officer) no longer on Schedule A of C••••• B••••• M••••••••• C•••• (listed 2019-02-04, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • C••••• B••••• M••••••••• C•••• reported RAUM $1.5B, up 38% from $1.1B (2018-11-07 to 2018-11-08)
        Nov 8, 2018 · RAUM change · derived
      • C••••• B••••• M••••••••• C•••• reported RAUM $1.1B, down 27% from $1.5B (2018-10-30 to 2018-11-07)
        Nov 7, 2018 · RAUM change · derived
      • C••••• B••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)
        Jan 26, 2017 · 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