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
9••••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 21, 2022 · 9 filings
SEC status approved since Apr 21, 2022
RAUM
$688M
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
0
beyond the principal office
Private funds
31
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$688M as of Mar 31, 2026
Mar 20, 2023$711M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 20, 20230 then
Employees (5.A)9 as of Mar 31, 2026
Mar 20, 202311 then
Private funds31 as of Mar 31, 2026
Mar 20, 202331 then
RAUM +39% over the last fiscal year-1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $22.2MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$688M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- 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=1.0 institutional_share=0.0 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
Private funds
44 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 9••••• O••••••••• L• • S••••• 9•no longer reported | Private Equity Fund | $97.7M | 68 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 1•no longer reported | Private Equity Fund | $77.7M | 7 | Mar 21, 2022 |
| 9••••• C•••••• F••• I• L• | Private Equity Fund | $72.8M | 45 | Mar 21, 2022 |
| 9••••• C•••••• I••••••••• L•• | Private Equity Fund | $59.6M | 3 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 2• | Private Equity Fund | $27.4M | 5 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $22.8M | 1 | Mar 20, 2023 |
| 9••••• C•••••• F••• I•• L• | Private Equity Fund | $22.8M | 25 | Mar 20, 2023 |
| 9••••• O••••••••• C• L• | Private Equity Fund | $22.6M | 5 | Mar 21, 2022 |
| 9••••• O••••••••• B• L• | Private Equity Fund | $18.7M | 2 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 1•no longer reported | Private Equity Fund | $17.9M | 4 | Mar 21, 2022 |
| 9••••• C•••••• I••••••••• I• L• | Private Equity Fund | $17.7M | 3 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 7• | Private Equity Fund | $12.9M | 17 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 2• | Private Equity Fund | $11.3M | 5 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 5• | Private Equity Fund | $10.3M | 28 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 2• | Private Equity Fund | $10.2M | 6 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 2• | Private Equity Fund | $10.2M | 4 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 1•no longer reported | Private Equity Fund | $9.5M | 1 | Mar 21, 2022 |
| 9••••• O••••••••• E• L• | Private Equity Fund | $7.7M | 1 | Mar 20, 2023 |
| 9••••• O••••••••• D• L• | Private Equity Fund | $7.6M | 1 | Mar 20, 2023 |
| 9••••• O••••••••• L• • S••••• 1• | Private Equity Fund | $7.3M | 2 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 1•no longer reported | Private Equity Fund | $7.3M | 2 | Mar 21, 2022 |
| 9••••• O••••••••• F• L• | Private Equity Fund | $7.0M | 1 | Mar 26, 2024 |
| 9••••• O••••••••• L• • S••••• 1• | Private Equity Fund | $6.8M | 6 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 2• | Private Equity Fund | $6.1M | 6 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 1• | Private Equity Fund | $6.0M | 2 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $5.0M | 1 | Mar 20, 2023 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $5.0M | 1 | Mar 20, 2023 |
| 9••••• O••••••••• A• L•no longer reported | Private Equity Fund | $4.4M | 3 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $4.1M | 3 | Mar 20, 2023 |
| 9••••• O••••••••• L• • S••••• 2• | Private Equity Fund | $4.0M | 2 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 2•no longer reported | Private Equity Fund | $2.5M | 1 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $2.1M | 1 | Mar 26, 2024 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $2.0M | 1 | Mar 26, 2024 |
| 9••••• O••••••••• L• • S••••• 1• | Private Equity Fund | $2.0M | 3 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $1.6M | 10 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 3• | Private Equity Fund | $1.6M | 1 | Mar 20, 2023 |
| 9••••• O••••••••• L• • S••••• 2• | Private Equity Fund | $1.6M | 12 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 1• | Private Equity Fund | $1.5M | 1 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 1• | Private Equity Fund | $1.0M | 4 | Mar 21, 2022 |
| 9••••• O••••••••• L• • S••••• 6• | Private Equity Fund | $858,103 | 3 | Mar 21, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• D•••• · Managercontrolsince 10/2018 · owns 25% to 50%
- O••••••• G•••••• G••••• O••••• · Managercontrolsince 10/2018 · owns 25% to 50%
- O••••••• T••• · Managercontrolsince 10/2018 · owns 25% to 50%
- C•••• H••••• · Cco, Cfosince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- 9••••• C•••••• F••• I• G• L•pooled vehicle sponsorn
- 9••••• C•••••• F••• I•• G• L•pooled vehicle sponsorn
- 9••••• C•••••• O••••••••• G• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 28 to 31Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 28 to 31Mar 31, 2025 to Mar 31, 2026
- Employees · 11 to 9Mar 31, 2025 to Mar 31, 2026
- Private funds · 28 to 31Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $495M to $688MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $495M to $688MMar 31, 2025 to Mar 31, 2026
- RAUM · $495M to $688MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 6 to 7May 2, 2024 to Mar 31, 2025
- Employees · 9 to 11May 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 2, 2024 to Mar 31, 2025
- Other offices · 1 to 0May 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $483M to $495MMay 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $483M to $495MMay 2, 2024 to Mar 31, 2025
- RAUM · $483M to $495MMay 2, 2024 to Mar 31, 2025
- Accounts · 31 to 28Dec 21, 2023 to Mar 26, 2024
- Advisory employees · 4 to 6Dec 21, 2023 to Mar 26, 2024
- Pooled vehicle clients · 31 to 28Dec 21, 2023 to Mar 26, 2024
- Employees · 11 to 9Dec 21, 2023 to Mar 26, 2024
- Private funds · 31 to 28Dec 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $711M to $483MDec 21, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $711M to $483MDec 21, 2023 to Mar 26, 2024
- RAUM · $711M to $483MDec 21, 2023 to Mar 26, 2024
- HQ city · WEST HOLLYWOOD to NEW YORKAug 10, 2023 to Dec 21, 2023
- HQ state · CA to NYAug 10, 2023 to Dec 21, 2023
- Accounts · 33 to 31Nov 10, 2022 to Mar 20, 2023
- Advisory employees · 5 to 4Nov 10, 2022 to Mar 20, 2023
- Pooled vehicle clients · 33 to 31Nov 10, 2022 to Mar 20, 2023
- Employees · 10 to 11Nov 10, 2022 to Mar 20, 2023
- Private funds · 33 to 31Nov 10, 2022 to Mar 20, 2023
- Discretionary RAUM · $639M to $711MNov 10, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $639M to $711MNov 10, 2022 to Mar 20, 2023
- RAUM · $639M to $711MNov 10, 2022 to Mar 20, 2023
Signals
3 dated events
- 9••••• C•••••• M••••••••• L• reported RAUM $687.6M, up 39% from $494.9M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- 9••••• C•••••• M••••••••• L• reported RAUM $483.2M, down 32% from $711.1M (2023-12-21 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- 9••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Mar 21, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 9••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- 9••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/9yards-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 9yards.vcreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 424-371-6926reportedpublic 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