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

D•••••••• A••••••• C•••••• S• D• R••••• C•••

Former SEC-registered adviserMexico City, CRD 288040SEC 801-111966IAPD
Latest filing Jul 7, 2020
First filing on the tape Sep 29, 2017 · 8 filings
RAUM
$787M
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
14
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$35.0M gross assets
History
8 filings and snapshots on the tape
RAUM$787M as of Mar 27, 2020
Mar 27, 2018$688M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 27, 20180 then
Employees (5.A)14 as of Mar 27, 2020
Mar 27, 201814 then
Private funds2 as of Mar 27, 2020
Mar 27, 20182 then
RAUM -1.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 7, 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
$112MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.3%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
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)
  • has custody of client securities (9.A.1.b)
  • 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$787M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••••• A••••••• I•• L•Private Equity Fund$35.0M18Sep 29, 2017
      D•••••••• A••••••• I•• L•Private Equity Fund$00Sep 29, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• H••••• F•••••••• · Partnercontrol
        since 03/2017 · owns less than 5%
      • M••••••• C•••••• M••••• · Partner And Ccocontrol
        since 03/2017 · owns less than 5%
      • M•••• V••••••••• J••• A•••••• · Senior Advisorcontrol
        since 11/2019 · owns less than 5%
      • R•••••• A•••••• F•••• · Senior Managing Directorcontrol
        since 01/2018 · owns less than 5%
      • V••• R•••••••• S•••• · Chief Financial Officercontrol
        since 10/2018 · owns less than 5%
      • K••••••• H••••• F•••••••• · Icontrol
        since 03/2017 · owns 25% to 50% of D•••••••• A••••••• H•••••••• L•
      • K••••••• H••••• F•••••••• · Icontrol
        since 11/2016 · owns 25% to 50% of D•••••••• A••••••• I••••••••• P•••••••• C•••.
      • M••••••• C•••••• M••••• · Icontrol
        since 11/2016 · owns 25% to 50% of D•••••••• A••••••• I••••••••• P•••••••• C•••.
      • M••••••• C•••••• M••••• · Icontrol
        since 03/2017 · owns 25% to 50% of D•••••••• A••••••• H•••••••• L•
      Entity owners
      • D•••••••• A••••••• H•••••••• L• · Direct Owner
        direct · owns 75% or more
      • D•••••••• A••••••• I••••••••• P•••••••• C••• · Direct Owner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••••• A••••••••• S• D• R••• D• C•••
        investment advisern
      • A•••• D•••••••• M••••• S• D• R••• D• C•••
        investment advisern
      • D•••••••• A••••••• A••••••••• I• M•••••• L•
        pooled vehicle sponsorn
      • D•••••••• A••••••• A••••••••• I•• L•
        pooled vehicle sponsorn
      • D•••••••• A••••••• A••••••••• I•• M•••••• L•
        pooled vehicle sponsorn
      • D•••••••• A••••••• A••••••••• I•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $14.3M to $16.0M
        Jun 14, 2019 to Mar 27, 2020
      • Employees · 20 to 14
        Jun 14, 2019 to Mar 27, 2020
      • Discretionary RAUM · $709M to $787M
        Jun 14, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $709M to $787M
        Jun 14, 2019 to Mar 27, 2020
      • RAUM · $709M to $787M
        Jun 14, 2019 to Mar 27, 2020
      • Discretionary RAUM · $797M to $709M
        Mar 28, 2019 to Jun 14, 2019
      • Pooled vehicle RAUM · $797M to $709M
        Mar 28, 2019 to Jun 14, 2019
      • RAUM · $797M to $709M
        Mar 28, 2019 to Jun 14, 2019
      • Accounts · 6 to 7
        Nov 5, 2018 to Mar 28, 2019
      • Advisory employees · 16 to 9
        Nov 5, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 6 to 7
        Nov 5, 2018 to Mar 28, 2019
      • Assets in custody · $15.2M to $14.3M
        Nov 5, 2018 to Mar 28, 2019
      • Employees · 21 to 20
        Nov 5, 2018 to Mar 28, 2019
      • Discretionary RAUM · $697M to $797M
        Nov 5, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $697M to $797M
        Nov 5, 2018 to Mar 28, 2019
      • RAUM · $697M to $797M
        Nov 5, 2018 to Mar 28, 2019
      • Accounts · 7 to 6
        Mar 27, 2018 to Jun 8, 2018
      • Advisory employees · 12 to 16
        Mar 27, 2018 to Jun 8, 2018
      • Pooled vehicle clients · 7 to 6
        Mar 27, 2018 to Jun 8, 2018
      • Employees · 14 to 21
        Mar 27, 2018 to Jun 8, 2018
      • Discretionary RAUM · $688M to $697M
        Mar 27, 2018 to Jun 8, 2018
      • Pooled vehicle RAUM · $688M to $697M
        Mar 27, 2018 to Jun 8, 2018
      • RAUM · $688M to $697M
        Mar 27, 2018 to Jun 8, 2018
      • Advisory employees · 11 to 12
        Sep 29, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 7.0
        Sep 29, 2017 to Mar 27, 2018
      • Employees · 13 to 14
        Sep 29, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Sep 29, 2017 to Mar 27, 2018
      • Discretionary RAUM · $721M to $688M
        Sep 29, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 688164955.0
        Sep 29, 2017 to Mar 27, 2018
      • RAUM · $721M to $688M
        Sep 29, 2017 to Mar 27, 2018
      Signals
      4 dated events
      • J••• A•••••• M•••• V••••••••• (Senior Advisor) appeared on Schedule A of D•••••••• A••••••• C•••••• S• D• R••••• C•••
        Mar 27, 2020 · Control person joined · fact
      • I••• R••••••• D•••••••• (Senior Advisor) no longer on Schedule A of D•••••••• A••••••• C•••••• S• D• R••••• C••• (listed 2019-06-14, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • A•••••• M••••• (Partner) no longer on Schedule A of D•••••••• A••••••• C•••••• S• D• R••••• C••• (listed 2018-11-05, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • D•••••••• A••••••• C•••••• S• D• R••••• C••• filed its initial SEC registration (Form ADV)
        Sep 29, 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