DFX Intelligence

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Former SEC-registered adviser

C••••• A••••••• V••••••• L•••

Former SEC-registered adviserCRD 287866SEC 801-110458IAPD

Latest filing Mar 29, 2019

First filing on the tape Apr 13, 2017 · 11 filings

RAUM

$692M

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

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$692M as of Mar 29, 2019

Mar 22, 2018$282M then

HNW client RAUM$0 as of Mar 29, 2019

Mar 22, 2018$0 then

State-registered IARs (5.B.3)1 as of Mar 29, 2019

Mar 22, 20181 then

Employees (5.A)1 as of Mar 29, 2019

Mar 22, 20181 then

Private funds: no history

RAUM +145% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 29, 2019; every figure names its basis

RAUM per advisor: $692MderivedRAUM 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: $692MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +145%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: performance-based, otherreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$692M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: 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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••• P••••• L•••• · Principal & Ccocontrol
since 01/2017 · owns 75% or more

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

HQ city · CHARLOTTESVILLE to unset
Mar 22, 2018 to Mar 29, 2019
HQ state · VA to unset
Mar 22, 2018 to Mar 29, 2019
Discretionary RAUM · $282M to $692M
Mar 22, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $282M to $692M
Mar 22, 2018 to Mar 29, 2019
RAUM · $282M to $692M
Mar 22, 2018 to Mar 29, 2019
Discretionary RAUM · $306M to $282M
Oct 20, 2017 to Mar 22, 2018
Pooled vehicle RAUM · $306M to $282M
Oct 20, 2017 to Mar 22, 2018
RAUM · $306M to $282M
Oct 20, 2017 to Mar 22, 2018
Charity clients · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
Corporate clients · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
HNW clients · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
Individual clients · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
Pension plan clients · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
HNW RAUM · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
Individual RAUM · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
Pension RAUM · unset to 0.0
Oct 9, 2017 to Oct 13, 2017
Pooled vehicle clients · unset to 1.0
Sep 18, 2017 to Oct 9, 2017
Other offices · unset to 0.0
Sep 18, 2017 to Oct 9, 2017
Discretionary RAUM · $320M to $306M
Sep 18, 2017 to Oct 9, 2017
Pooled vehicle RAUM · unset to 306000000.0
Sep 18, 2017 to Oct 9, 2017
RAUM · $320M to $306M
Sep 18, 2017 to Oct 9, 2017
Discretionary RAUM · $350M to $320M
Jun 28, 2017 to Jul 18, 2017
RAUM · $350M to $320M
Jun 28, 2017 to Jul 18, 2017
Accounts · 0 to 1
Apr 19, 2017 to Jun 26, 2017
Discretionary RAUM · $0 to $350M
Apr 19, 2017 to Jun 26, 2017
RAUM · $0 to $350M
Apr 19, 2017 to Jun 26, 2017

Signals

3 dated events

C••••• A••••••• V••••••• L••• reported RAUM $692.1M, up 145% from $282.3M (2018-03-22 to 2019-03-29)
Mar 29, 2019 · RAUM change · derived
M Jocelyn Dalkin (Chief Compliance Officer) no longer on Schedule A of C••••• A••••••• V••••••• L••• (listed 2018-03-22, absent 2019-03-29)
Mar 29, 2019 · Control person left · inference
C••••• A••••••• V••••••• L••• filed its initial SEC registration (Form ADV)
Apr 13, 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

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