DFX Intelligence

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C•••••••• S••••• C••••••• L•

Former SEC-registered adviserFormer SEC adviser1 private funds· Boston, Massachusetts

Former SEC-registered adviser, based in Boston, Massachusetts, reporting $1.3B of regulatory assets.

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

As of 2019-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $1.3B
RAUM change, 1 year: +15%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2019-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 28 Mar 2019, RAUM $1.12B to $1.29B (+15.2%) on the Form ADV filed 28 Mar 2019.

Every filed figure, and the identifiersCRD 286382 · SEC 801-108936 · 10 filingsShow

CRD 286382SEC 801-108936First filing on the tape Jan 4, 2017, latest Mar 28, 2019IAPD

RAUM

$1.3B

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

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$881M gross assets

History

10 filings and snapshots on the tape

RAUM +15% over the last fiscal year · the tape starts Jan 4, 2017

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

RAUM$1.3B as of Mar 28, 2019

Mar 29, 2018$1.1B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 28, 2019

Mar 29, 20180 then

Employees (5.A)14 as of Mar 28, 2019

Mar 29, 201815 then

Private funds1 as of Mar 28, 2019

Mar 29, 20181 then

RAUM +15% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 28, 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: $322MderivedRAUM 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: +15%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)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$881M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
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

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

Fund	Type	Gross assets	Owners	First reported
C•••••••• S••••• M••••• F•••• L•	Hedge Fund	$881M	45	Jun 13, 2017

Owners and control persons

Schedule A and B, latest filing

B••••••• M••••• C•••• D••••• · Portfolio Manager, Limited Partner, Managing Partnercontrol
since 10/2016 · owns 75% or more
C••••••• J•••• W•••••• · Chief Operating Officer, Chief Financial Officer, Chief Compliance Officercontrol
since 10/2016 · owns less than 5%
K••••••• A••••••• K••••••••• · Chief Executive Officercontrol
since 08/2017 · owns less than 5%
B••••••• M••••• C•••• D••••• · Indirect Ownercontrol
since 11/2016 · owns 75% or more of C•••••••• S••••• H•••••••• L••

Entity owners

C•••••••• S••••• H•••••••• L•• · General Partner
direct · owns less than 5%
C•••••••• S••••• H•••••••• L•• · Limited Partner
indirect · owns 75% or more of C•••••••• S••••• E• H••••••• L•
C•••••••• S••••• E• H••••••• L• · Limited Partner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

C•••••••• S••••• F••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 8 to 5
Nov 1, 2018 to Mar 28, 2019
Employees · 15 to 14
Nov 1, 2018 to Mar 28, 2019
Discretionary RAUM · $1.1B to $1.3B
Nov 1, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $860M to $881M
Nov 1, 2018 to Mar 28, 2019
RAUM · $1.1B to $1.3B
Nov 1, 2018 to Mar 28, 2019

Full history · 26 changes

Organization form · Limited Liability Partnership to Limited Partnership
Apr 23, 2018 to Jun 28, 2018
Accounts · 3 to 4
Aug 4, 2017 to Mar 29, 2018
Advisory employees · 6 to 8
Aug 4, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 3.0
Aug 4, 2017 to Mar 29, 2018
Assets in custody · 252829506.0 to unset
Aug 4, 2017 to Mar 29, 2018
Custody of client assets · true to false
Aug 4, 2017 to Mar 29, 2018
Employees · 11 to 15
Aug 4, 2017 to Mar 29, 2018
Financial planning clients · unset to 0
Aug 4, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Aug 4, 2017 to Mar 29, 2018
Organization form · Limited Partnership to Limited Liability Partnership
Aug 4, 2017 to Mar 29, 2018
Discretionary RAUM · $253M to $1.1B
Aug 4, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 859892534.0
Aug 4, 2017 to Mar 29, 2018
RAUM · $253M to $1.1B
Aug 4, 2017 to Mar 29, 2018
Accounts · 0 to 3
Jan 4, 2017 to Jun 13, 2017
Advisory employees · 5 to 6
Jan 4, 2017 to Jun 13, 2017
Assets in custody · unset to 252829506.0
Jan 4, 2017 to Jun 13, 2017
Custody of client assets · false to true
Jan 4, 2017 to Jun 13, 2017
Employees · 7 to 11
Jan 4, 2017 to Jun 13, 2017
Private funds · unset to 1
Jan 4, 2017 to Jun 13, 2017
Discretionary RAUM · $0 to $253M
Jan 4, 2017 to Jun 13, 2017
RAUM · $0 to $253M
Jan 4, 2017 to Jun 13, 2017

Signals

2 dated events

••• Locked
Mar 29, 2018 · RAUM change · derived
••• Locked
Jan 4, 2017 · 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

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