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
E••••••• C•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 29, 2021 · 11 filings
SEC status approved since Jul 29, 2021
RAUM
$2.9B
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
30
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
29
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.9B as of Mar 31, 2026
Mar 30, 2022$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20222 then
Employees (5.A)30 as of Mar 31, 2026
Mar 30, 202218 then
Private funds29 as of Mar 31, 2026
Mar 30, 20228 then
RAUM -8.2% over the last fiscal year+36% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $1.4BderivedRAUM 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
- $95.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 15.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.2%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
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.7B, 29 clientsreportedItem 9.A
- 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 cash or bank accounts (9.A.1.a)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.7B93%
- Corporations and businesses$215M7.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7B for 29 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.0 related_bd=false related_bank=true 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• C•••••• F••••••• F••• I•• L• | Venture Capital Fund | $737M | 609 | Mar 30, 2022 |
| E••••••• C•••••• V•••••• F••• I• L• | Venture Capital Fund | $347M | 72 | Mar 30, 2020 |
| E••••••• C•••••• V•••••• F••• I•• L• | Venture Capital Fund | $305M | 1,018 | Mar 30, 2022 |
| E••••••• C•••••• V•••••• F••• I••• L• | Venture Capital Fund | $203M | 607 | Mar 29, 2024 |
| E••••••• C•••••• P••••••• F••••••• M••••• F•••• L• | Hedge Fund | $173M | 2 | Mar 30, 2020 |
| E••••••• C•••••• P••••••• V•••• L•• | Venture Capital Fund | $20.1M | 4 | Jun 29, 2021 |
| E•• O••••••••• C•• L•• | Venture Capital Fund | $20.0M | 3 | Mar 29, 2024 |
| E•• O•• L•• | Venture Capital Fund | $17.9M | 2 | Mar 29, 2024 |
| A••• S•• 1• L•• | Venture Capital Fund | $3.4M | 4 | Jun 29, 2021 |
| E••••••• C•••••• P••••••• S•• V• L•• | Venture Capital Fund | $1.7M | 12 | Mar 31, 2023 |
| A••• S•• 2• L•• | Venture Capital Fund | $1.7M | 6 | Jun 29, 2021 |
| E••••••• C•••••• P••••••• S•• V•• L•• | Venture Capital Fund | $1.0M | 11 | Mar 31, 2023 |
| E••••••• C•••••• P••••••• S•• I•• L•• | Venture Capital Fund | $500,000 | 5 | Mar 30, 2022 |
| E••••••• C•••••• P••••••• C••• M••••• F•••• L•no longer reported | Hedge Fund | $0 | 2 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- G•••• A•••••• · M••••••controlsince 02/2018 · owns 50% to 75%
- M•••••• E•••• · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- S••••••• C••••• · M••••••controlsince 02/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••• S•• M••••••• L••pooled vehicle sponsory
- E•• O• M••••••• L••pooled vehicle sponsory
- E•• O••••••••• C• M••••••• L••pooled vehicle sponsory
- E••••••• C•••••• F••••••• F••• G• I•• L••bankpooled vehicle sponsory
- E••••••• C•••••• P••••••• F••••••• F••• G•• L••bankpooled vehicle sponsory
- E••••••• C•••••• P••••••• S•• V• M••••••• L••pooled vehicle sponsory
- E••••••• C•••••• P••••••• S•• V• M••••••• L••pooled vehicle sponsory
- E••••••• C•••••• P••••••• V••• M••••••• L••pooled vehicle sponsory
- E••••••• C•••••• V•••••• F••• G• I• L••pooled vehicle sponsory
- E••••••• C•••••• V•••••• F••• G• I•• L••bankpooled vehicle sponsory
- E••••••• C•••••• V•••••• F••• G• I••• L••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 28 to 30Jan 12, 2026 to Mar 31, 2026
- Advisory activities · 1 to 2Jan 12, 2026 to Mar 31, 2026
- Corporate clients · unset to 1.0Jan 12, 2026 to Mar 31, 2026
- Pooled vehicle clients · 28 to 29Jan 12, 2026 to Mar 31, 2026
- Assets in custody · $2.9B to $2.7BJan 12, 2026 to Mar 31, 2026
- Private funds · 20 to 29Jan 12, 2026 to Mar 31, 2026
- Discretionary RAUM · $2.9B to $2.9BJan 12, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $2.9B to $2.7BJan 12, 2026 to Mar 31, 2026
- RAUM · $2.9B to $2.9BJan 12, 2026 to Mar 31, 2026
- Accounts · 25 to 28Mar 31, 2025 to Jan 12, 2026
- Advisory employees · 14 to 12Mar 31, 2025 to Jan 12, 2026
- Pooled vehicle clients · 25 to 28Mar 31, 2025 to Jan 12, 2026
- Assets in custody · $3.0B to $2.9BMar 31, 2025 to Jan 12, 2026
- Employees · 31 to 30Mar 31, 2025 to Jan 12, 2026
- Discretionary RAUM · $3.1B to $2.9BMar 31, 2025 to Jan 12, 2026
- Pooled vehicle RAUM · $3.1B to $2.9BMar 31, 2025 to Jan 12, 2026
- RAUM · $3.1B to $2.9BMar 31, 2025 to Jan 12, 2026
- Accounts · 22 to 25Jan 24, 2025 to Mar 31, 2025
- Advisory employees · 13 to 14Jan 24, 2025 to Mar 31, 2025
- Pooled vehicle clients · 22 to 25Jan 24, 2025 to Mar 31, 2025
- Assets in custody · $1.6B to $3.0BJan 24, 2025 to Mar 31, 2025
- Employees · 32 to 31Jan 24, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 24, 2025 to Mar 31, 2025
- Private funds · 17 to 20Jan 24, 2025 to Mar 31, 2025
- Discretionary RAUM · $2.1B to $3.1BJan 24, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $2.1B to $3.1BJan 24, 2025 to Mar 31, 2025
- RAUM · $2.1B to $3.1BJan 24, 2025 to Mar 31, 2025
- Accounts · 17 to 22May 16, 2024 to Jan 24, 2025
- Pooled vehicle clients · 17 to 22May 16, 2024 to Jan 24, 2025
- Assets in custody · $0 to $1.6BMay 16, 2024 to Jan 24, 2025
- Private funds · 13 to 17May 16, 2024 to Jan 24, 2025
- Discretionary RAUM · $1.8B to $2.1BMay 16, 2024 to Jan 24, 2025
- Pooled vehicle RAUM · $1.8B to $2.1BMay 16, 2024 to Jan 24, 2025
- RAUM · $1.8B to $2.1BMay 16, 2024 to Jan 24, 2025
- Accounts · 13 to 17May 22, 2023 to Mar 29, 2024
- Advisory employees · 15 to 13May 22, 2023 to Mar 29, 2024
- Pooled vehicle clients · 13 to 17May 22, 2023 to Mar 29, 2024
- Employees · 22 to 32May 22, 2023 to Mar 29, 2024
- Private funds · 10 to 13May 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.1B to $1.8BMay 22, 2023 to Mar 29, 2024
Signals
6 dated events
- E••••••• C•••••• P•••••••• L•• reported RAUM $3.1B, up 52% from $2.1B (2025-01-24 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- E••••••• C•••••• P•••••••• L•• reported RAUM $1.8B, up 61% from $1.1B (2023-05-22 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- E••••••• C•••••• P•••••••• L•• reported RAUM $1.1B, down 34% from $1.7B (2022-11-29 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- E••••••• C•••••• P•••••••• L•• reported RAUM $1.7B, up 210% from $556.9M (2021-06-29 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- E•••• M••••• (Chief Compliance Officer) appeared on Schedule A of E••••••• C•••••• P•••••••• L••Mar 30, 2022 · Control person joined · fact
- E••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- E••••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
- E••••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- nftpulse.orgreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (650) 420-5055reportedpublic record, Form ADV, Mar 31, 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