DFX Intelligence
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Former SEC-registered adviser
C•••••••• A••••• P•••••••
Legal name C•••••••• A••••• P•••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Sep 25, 2023 · 6 filings
SEC status approved since Oct 24, 2023
RAUM
$85.9M
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
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$85.9M as of Mar 27, 2026
Mar 14, 2024$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 14, 20240 then
Employees (5.A)9 as of Mar 27, 2026
Mar 14, 202410 then
Private funds1 as of Mar 27, 2026
Mar 14, 20241 then
RAUM -9.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $85.9MderivedRAUM 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
- -9.2%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
- Custody
- $85.9M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$85.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.9M for 1 clientsreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• F••••••• F••• I• L•••••• | Private Equity Fund | $102M | 7 | Dec 20, 2017 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• G•••••• G••••• · Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
- S•••• O••• C•••••••• · Chief Executive Officercontrolsince 07/2016 · owns less than 5%
- G•••••••• R•••••• J••••• · Trusteecontrolsince 04/2017 · owns F of T•• G••••••• F••••••••• F•• T•• P••••••••• O• T•• E•••••••••
- M••••••••• G•••••• G••••• · Managing Directorcontrolsince 04/2017 · owns F of C•••••••• A••••• P••••••• H•••••••• L••
- S•••• O••• C•••••••• · Managing Partnercontrolsince 04/2017 · owns F of C•••••••• A••••• P••••••• H•••••••• L••
Entity owners
- C•••••••• A••••• P••••••• H•••••••• L•• · Shareholderdirect · owns 50% to 75%
- T•• G••••••• F••••••••• F•• T•• P••••••••• O• T•• E••••••••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C•••••••• A••••• S••••••••• F••••••• M•••••••• I•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Stellenbosch, South A•••••5 employees
What changed
consecutive filings, newest first
- Advisory employees · 9 to 7Jan 12, 2026 to Mar 27, 2026
- Assets in custody · $94.6M to $85.9MJan 12, 2026 to Mar 27, 2026
- Employees · 10 to 9Jan 12, 2026 to Mar 27, 2026
- Discretionary RAUM · $94.6M to $85.9MJan 12, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $94.6M to $85.9MJan 12, 2026 to Mar 27, 2026
- RAUM · $94.6M to $85.9MJan 12, 2026 to Mar 27, 2026
- Assets in custody · $102M to $94.6MMar 14, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $102M to $94.6MMar 14, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $102M to $94.6MMar 14, 2024 to Mar 24, 2025
- RAUM · $102M to $94.6MMar 14, 2024 to Mar 24, 2025
- Assets in custody · $105M to $102MSep 25, 2023 to Mar 14, 2024
- Private funds · 2 to 1Sep 25, 2023 to Mar 14, 2024
- Discretionary RAUM · $105M to $102MSep 25, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $105M to $102MSep 25, 2023 to Mar 14, 2024
- RAUM · $105M to $102MSep 25, 2023 to Mar 14, 2024
Signals
2 dated events
- C•••••••• A••••• P••••••• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $85.9M)Jul 1, 2026 · Left the SEC roster · derived
- C•••••••• A••••• P••••••• filed its initial SEC registration (Form ADV)Sep 25, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••••• A••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- C•••••••• A••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/11189813reportedpublic record, Form ADV, Jun 16, 2026
- Website
- C••••••••A•••••.COMreportedpublic record, Form ADV, Jun 16, 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
- 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