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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SEC-registered adviser
3•• F••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Feb 18, 2017 · 14 filings
SEC status approved since Apr 5, 2017
RAUM
$104M
reported, Item 5.F
Discretionary
100%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$104M as of Mar 25, 2026
Mar 30, 2018$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 30, 20180 then
Employees (5.A)2 as of Mar 25, 2026
Mar 30, 20188 then
Private funds4 as of Mar 25, 2026
Mar 30, 20185 then
RAUM -85% over the last fiscal year-58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; 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
- $104MderivedRAUM 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
- -85%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 assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$104M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• C•• 2•••••• L••• F•••• A••••••••• C•• 2•••••• L••• | Securitized Asset Fund | $367M | 0 | Mar 30, 2015 |
| E•••••••• C•• 2•••••• L•• | Securitized Asset Fund | $352M | 0 | Mar 30, 2019 |
| E••••••••• C•• 2•••••• L••• | Securitized Asset Fund | $331M | 0 | Mar 30, 2018 |
| E•••••••• C•• 2••••••••• F•••• A••••••••• C•• 2•••••• L••• | Securitized Asset Fund | $325M | 0 | Mar 31, 2014 |
| P•••• C•• 2• L•••no longer reported | Securitized Asset Fund | $150M | 0 | Mar 30, 2018 |
| E•••••••• C•• 2•••••• L••• | Securitized Asset Fund | $300,000 | 0 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S•••••• S•••••• · Executive Officercontrolsince 01/2017 · owns less than 5%
- G••••• R••••••• A•••• · Ccocontrolsince 01/2017 · owns less than 5%
Entity owners
- R• 3•• L• · Ownerdirect · owns 75% or more
- A•••••••• C••••••• H••••••• L•• · Ownerindirect · owns 75% or more of R• 3•• L•
- G• R• 3•• L•• · General Partnerindirect · owns F of R• 3•• L•
- T•• I••• R•••• L•• · Limited Partnerindirect · owns 75% or more of R• 3•• L•
Related persons
Schedule D 7.A
- A•••••••• C••••••• H•••••••• L••investment adviseryRAUM $21B
Advisers that list 3•• F••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $714,489,444 to $103,751,644 (-85.0%) between the annual amendments of 2025-04-01 and 2026-03-25; the peer median change was +4.0% (1148 comparable advisers, 1.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 0.5% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 1Apr 1, 2025 to Mar 25, 2026
- Discretionary RAUM · $714M to $104MApr 1, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $714M to $104MApr 1, 2025 to Mar 25, 2026
- RAUM · $714M to $104MApr 1, 2025 to Mar 25, 2026
- Advisory employees · 4 to 1Mar 1, 2024 to Apr 1, 2025
- Employees · 6 to 2Mar 1, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 1-10Mar 1, 2024 to Apr 1, 2025
- Discretionary RAUM · $1.0B to $714MMar 1, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $1.0B to $714MMar 1, 2024 to Apr 1, 2025
- RAUM · $1.0B to $714MMar 1, 2024 to Apr 1, 2025
- Accounts · 5 to 4Mar 30, 2023 to Mar 1, 2024
- Advisory employees · 6 to 4Mar 30, 2023 to Mar 1, 2024
- Pooled vehicle clients · 5 to 4Mar 30, 2023 to Mar 1, 2024
- Employees · 8 to 6Mar 30, 2023 to Mar 1, 2024
- Private funds · 5 to 4Mar 30, 2023 to Mar 1, 2024
- Discretionary RAUM · $1.4B to $1.0BMar 30, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $1.4B to $1.0BMar 30, 2023 to Mar 1, 2024
- RAUM · $1.4B to $1.0BMar 30, 2023 to Mar 1, 2024
- Discretionary RAUM · $2.1B to $1.4BMar 28, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $2.1B to $1.4BMar 28, 2022 to Mar 30, 2023
- RAUM · $2.1B to $1.4BMar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.2B to $2.1BMar 31, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $2.2B to $2.1BMar 31, 2021 to Mar 28, 2022
- RAUM · $2.2B to $2.1BMar 31, 2021 to Mar 28, 2022
- Accounts · 6 to 5Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 6 to 5Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $2.3B to $2.2BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $2.3B to $2.2BMar 29, 2019 to Mar 30, 2020
- RAUM · $2.3B to $2.2BMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.9B to $2.3BApr 25, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $1.9B to $2.3BApr 25, 2018 to Mar 29, 2019
- RAUM · $1.9B to $2.3BApr 25, 2018 to Mar 29, 2019
- Accounts · 3 to 6Jun 21, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 6.0Jun 21, 2017 to Mar 30, 2018
- Financial planning clients · 0 to 1-10Jun 21, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Jun 21, 2017 to Mar 30, 2018
- Private funds · unset to 5Jun 21, 2017 to Mar 30, 2018
- Discretionary RAUM · $959M to $1.9BJun 21, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 1910000000.0Jun 21, 2017 to Mar 30, 2018
- RAUM · $959M to $1.9BJun 21, 2017 to Mar 30, 2018
Signals
7 dated events
- 3•• F••••••• L•• reported RAUM $103.8M, down 85% from $714.5M (2025-04-01 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- 3•• F••••••• L•• reported RAUM $714.5M, down 31% from $1.0B (2024-03-01 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- 3•• F••••••• L•• reported RAUM $1.0B, down 25% from $1.4B (2023-03-30 to 2024-03-01)Mar 1, 2024 · RAUM change · derived
- 3•• F••••••• L•• reported RAUM $1.4B, down 35% from $2.1B (2022-03-28 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Suryaji Sanjai Bhonsle (Executive Officer) appeared on Schedule A of 3•• F••••••• L••Mar 30, 2020 · Control person joined · fact
- 3•• F••••••• L•• reported RAUM $1.9B, up 99% from $959.0M (2017-06-21 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- 3•• F••••••• L•• filed its initial SEC registration (Form ADV)Feb 18, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 303-398-2950reportedpublic record, Form ADV, Mar 25, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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