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
L••••••• I••••••••• C••••
Latest filing Oct 18, 2024
First filing on the tape Jun 27, 2022 · 6 filings
SEC status approved since Jul 27, 2022
RAUM
$125M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$125M gross assets
History
6 filings and snapshots on the tape
RAUM$125M as of Mar 26, 2024
Mar 27, 2023$206M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 27, 20230 then
Employees (5.A)8 as of Mar 26, 2024
Mar 27, 202316 then
Private funds5 as of Mar 26, 2024
Mar 27, 20235 then
RAUM -39% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 18, 2024; 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
- $25.0MderivedRAUM 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
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $125M, 5 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$125M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $125M for 5 clientsreported
- Compensation
- 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•• C••••• L• | Venture Capital Fund | $116M | 14 | Dec 20, 2018 |
| I•• U•• S•• L• | Venture Capital Fund | $7.6M | 1 | Mar 29, 2021 |
| C• S•• I••••••••• L• | Private Equity Fund | $1.1M | 4 | Sep 3, 2021 |
| H••• S•••••• S•• I••••••••• L•• | Venture Capital Fund | $517,954 | 1 | Mar 29, 2021 |
| U• S•• I••••••••• L•• | Venture Capital Fund | $0 | 1 | Mar 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• D••••• G••••• · Directorcontrolsince 12/2016 · owns less than 5%
- B•••••••• M••••••• R••••• · President And Chief Executive Officercontrolsince 01/2013 · owns less than 5%
- F••••••••• B••••••• J• · Chief Legal Officercontrolsince 01/2019 · owns less than 5%
- H••••••••• M•••• V••••• · Directorcontrolsince 09/2024 · owns less than 5%
- S••••••••• C••••• J• · Directorcontrolsince 04/2019 · owns less than 5%
- S••••• G••••••• S•••• · Directorcontrolsince 11/2021 · owns less than 5%
- B•••••••• M••••••• R••••• · Ownercontrolsince 11/2021 · owns 75% or more of H••• S•••••• I••••••••• M••••••••• L••
- B••••• M••••••• R••••• · Chief Compliance Officersince 08/2021 · owns less than 5%
Entity owners
- H••• S•••••• I••••••••• M••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- I•• U•• ••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 5Jan 5, 2024 to Mar 26, 2024
- Business name · I• G••••• I••• to L••••••• I••••••••• C••••Jan 5, 2024 to Mar 26, 2024
- Assets in custody · $206M to $125MJan 5, 2024 to Mar 26, 2024
- Employees · 16 to 8Jan 5, 2024 to Mar 26, 2024
- Discretionary RAUM · $206M to $125MJan 5, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $206M to $125MJan 5, 2024 to Mar 26, 2024
- RAUM · $206M to $125MJan 5, 2024 to Mar 26, 2024
- Legal name · I• G••••• I••• to L••••••• I••••••••• C••••Mar 27, 2023 to Apr 27, 2023
- Advisory employees · 9 to 8Jun 27, 2022 to Mar 27, 2023
- Assets in custody · $9.5M to $206MJun 27, 2022 to Mar 27, 2023
- Employees · 15 to 16Jun 27, 2022 to Mar 27, 2023
- Private funds · 10 to 5Jun 27, 2022 to Mar 27, 2023
- Discretionary RAUM · $223M to $206MJun 27, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $223M to $206MJun 27, 2022 to Mar 27, 2023
- RAUM · $223M to $206MJun 27, 2022 to Mar 27, 2023
Signals
5 dated events
- L••••••• I••••••••• C•••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $125.1M)May 2, 2025 · Left the SEC roster · derived
- Varun Chandra (Director) no longer on Schedule A of L••••••• I••••••••• C•••• (listed 2024-03-26, absent 2024-10-18)Oct 18, 2024 · Control person left · inference
- Vivian Mark Houghton-Berry (Director) appeared on Schedule A of L••••••• I••••••••• C••••Oct 18, 2024 · Control person joined · fact
- T••••• E•••• J••••• (Director) no longer on Schedule A of L••••••• I••••••••• C•••• (listed 2024-01-05, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- I• G••••• I••• filed its initial SEC registration (Form ADV)Jun 27, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L••••••• I••••••••• C•••• · Private Equityshared crd · organization
- L••••••• I••••••••• C•••• · Venture Capitalshared crd · organization
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