DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A••••• A••••••••• I••••••••• L•

Asset manager (funds and pooled vehicles)Mill Valley, CaliforniaCRD 293127SEC 801-112992website IAPD

Latest filing Mar 23, 2026

First filing on the tape Mar 28, 2018 · 13 filings

SEC status approved since Apr 30, 2018

RAUM

$8.2B

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

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$8.2B as of Mar 23, 2026

Mar 21, 2019$316M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 21, 20190 then

Employees (5.A)11 as of Mar 23, 2026

Mar 21, 20197 then

Private funds1 as of Mar 23, 2026

Mar 21, 20191 then

RAUM +72% over the last fiscal year+17% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 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: $1.6BderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 39%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: +72%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 businesses and institutions, 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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$5.0B61%
State and municipal entities$3.3B39%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.61 institutional_share=0.39 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A••••• A•••••••• M••••• F••• L•	Hedge Fund	$3.4B	73	Mar 28, 2018

Owners and control persons

Schedule A and B, latest filing

G••••••••• D••••• C•••• · Chief Operating Officer And Chief Compliance Officercontrol
since 01/2018 · owns 10% to 25%
P•••••••• F•••••••• M•••••• · Chief Investment Officercontrol
since 01/2018 · owns 50% to 75%
P•••••••• F•••••••• M•••••• · Managercontrol
since 10/2018 · owns 75% or more of A••••• A••••••••• I••••••••• L••
P•••••••• F•••••••• M•••••• · Managercontrol
since 04/2021 · owns 75% or more of T•• A••••• I••••••••• L••
C••••• C••••••• D•••• · Limited Partner
since 03/2020 · owns 10% to 25%
L••••••••• G••••••• J••• · Limited Partner
since 03/2020 · owns 5% to 10%
W••••••••• C••••••••• S••• · Limited Partner
since 03/2020 · owns 5% to 10%

Entity owners

A••••• A••••••••• I••••••••• L•• · General Partner
direct · owns less than 5%
T•• A••••• I••••••••• L•• · Limited Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

A••••• A••••••••• I••••••••• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

high institutional concentrationStatic outlier · filing Mar 23, 2026
institutional share of RAUM of 39% against a peer median of 0% (684 comparable advisers, 100.0th percentile, 13.3 robust deviations)
peers: asset managers, $5B to $20B (684) · 100% percentile
RAUM up 50 %Change between filings · filing Mar 23, 2026
RAUM (Item 5.F) moved from $4,805,312,195 to $8,247,997,673 (+72.0%) between the annual amendments of 2025-03-26 and 2026-03-23; the peer median change was +13.0% (631 comparable advisers, 91.0th percentile of changes)
peers: asset managers, $5B to $20B (631) · 91% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 4 to 5
Mar 26, 2025 to Mar 23, 2026
Employees · 10 to 11
Mar 26, 2025 to Mar 23, 2026
Discretionary RAUM · $4.8B to $8.2B
Mar 26, 2025 to Mar 23, 2026
Pooled vehicle RAUM · $3.6B to $5.0B
Mar 26, 2025 to Mar 23, 2026
RAUM · $4.8B to $8.2B
Mar 26, 2025 to Mar 23, 2026
Advisory employees · 3 to 4
Mar 28, 2024 to Mar 26, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 26, 2025
Discretionary RAUM · $4.4B to $4.8B
Mar 28, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $3.4B to $3.6B
Mar 28, 2024 to Mar 26, 2025
RAUM · $4.4B to $4.8B
Mar 28, 2024 to Mar 26, 2025
Employees · 8 to 10
Jun 26, 2023 to Mar 28, 2024
Discretionary RAUM · $5.1B to $4.4B
Jun 26, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $4.0B to $3.4B
Jun 26, 2023 to Mar 28, 2024
RAUM · $5.1B to $4.4B
Jun 26, 2023 to Mar 28, 2024
Discretionary RAUM · $4.7B to $5.1B
Mar 28, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $3.7B to $4.0B
Mar 28, 2022 to Mar 28, 2023
RAUM · $4.7B to $5.1B
Mar 28, 2022 to Mar 28, 2023
Advisory activities · 1 to 2
Mar 31, 2021 to Mar 28, 2022
Employees · 7 to 8
Mar 31, 2021 to Mar 28, 2022
Discretionary RAUM · $2.6B to $4.7B
Mar 31, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $2.3B to $3.7B
Mar 31, 2021 to Mar 28, 2022
RAUM · $2.6B to $4.7B
Mar 31, 2021 to Mar 28, 2022
Accounts · 3 to 4
Mar 30, 2020 to Mar 31, 2021
Other offices · 1 to 0
Mar 30, 2020 to Mar 31, 2021
Discretionary RAUM · $1.1B to $2.6B
Mar 30, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $1.1B to $2.3B
Mar 30, 2020 to Mar 31, 2021
RAUM · $1.1B to $2.6B
Mar 30, 2020 to Mar 31, 2021
Other offices · 0 to 1
May 29, 2019 to Mar 30, 2020
Discretionary RAUM · $316M to $1.1B
May 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $316M to $1.1B
May 29, 2019 to Mar 30, 2020
RAUM · $316M to $1.1B
May 29, 2019 to Mar 30, 2020
Accounts · 2 to 3
Aug 28, 2018 to Mar 21, 2019
Pooled vehicle clients · 2 to 3
Aug 28, 2018 to Mar 21, 2019
Discretionary RAUM · $117M to $316M
Aug 28, 2018 to Mar 21, 2019
Pooled vehicle RAUM · $117M to $316M
Aug 28, 2018 to Mar 21, 2019
RAUM · $117M to $316M
Aug 28, 2018 to Mar 21, 2019
Accounts · 0 to 2
Mar 28, 2018 to Aug 28, 2018
Pooled vehicle clients · unset to 2.0
Mar 28, 2018 to Aug 28, 2018
Employees · 5 to 7
Mar 28, 2018 to Aug 28, 2018
Discretionary RAUM · $0 to $117M
Mar 28, 2018 to Aug 28, 2018

Signals

6 dated events

A••••• A••••••••• I••••••••• L• reported RAUM $8.2B, up 72% from $4.8B (2025-03-26 to 2026-03-23)
Mar 23, 2026 · RAUM change · derived
A••••• A••••••••• I••••••••• L• reported RAUM $4.7B, up 78% from $2.6B (2021-03-31 to 2022-03-28)
Mar 28, 2022 · RAUM change · derived
A••••• A••••••••• I••••••••• L• reported RAUM $2.6B, up 143% from $1.1B (2020-03-30 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
A••••• A••••••••• I••••••••• L• reported RAUM $1.1B, up 244% from $316.3M (2019-05-29 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived
A••••• A••••••••• I••••••••• L• reported RAUM $316.3M, up 169% from $117.4M (2018-08-28 to 2019-03-21)
Mar 21, 2019 · RAUM change · derived
A••••• A••••••••• I••••••••• L• filed its initial SEC registration (Form ADV)
Mar 28, 2018 · 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

Website: A•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 415-477-9077reportedpublic record, Form ADV, Mar 23, 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