DFX Intelligence
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N•••••• C•••••• M••••••••• L••
Asset manager (funds and pooled vehicles)SEC-registered1 private funds
Asset manager (funds and pooled vehicles), reporting $1.0B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.0B
- Advisors
- 0
- RAUM change, last fiscal year
- +18%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What matters now
- +18.2%RAUM, one year
RAUM $875M to $1.03B (+18.2%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
Every filed figure, and the identifiersCRD 300467 · SEC 801-119279 · 11 filingsShowHide
CRD 300467SEC 801-119279First filing on the tape Jul 14, 2020, latest Mar 31, 2026SEC status approved since Aug 10, 2020IAPD
RAUM
$1.0B
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
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2026
Mar 31, 2021$140M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20211 then
Private funds1 as of Mar 31, 2026
Mar 31, 20212 then
RAUM +18% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShowHide
- 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
- $345MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%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
- +18%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
- Custody
- $762M, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$762M94%
- Pension and profit-sharing plans$50.9M6.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $762M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.74 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Advisors registered through the firm
0 on IAPD today; the 10 longest tenured
No representative is registered through this CRD on IAPD.
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••••• C•••••• P••••••• L• | Hedge Fund | $762M | 83 | Mar 30, 2020 |
| C•••••• P•••••••• L•no longer reported | Hedge Fund | $213M | 2 | Mar 31, 2021 |
| N•••••• C•••••• P••••••• Q• L• | Hedge Fund | $111M | 8 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• S••••• V••••• · Chief Compliance Officer And Managing Membercontrolsince 12/2018 · owns 75% or more
Related persons
Schedule D 7.A
- N•••••• C•••••• P••••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pension plan clients · 1 to 0Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $611M to $762MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $875M to $1.0BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $50.3M to $50.9MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $611M to $762MMar 31, 2025 to Mar 31, 2026
Full history · 60 changesShow fewer
- RAUM · $875M to $1.0BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 1Jul 31, 2024 to Mar 31, 2025
- Assets in custody · $402M to $611MJul 31, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Jul 31, 2024 to Mar 31, 2025
- HQ city · unset to Jul 31, 2024 to Mar 31, 2025
- HQ state · unset to Jul 31, 2024 to Mar 31, 2025
- Private funds · 2 to 1Jul 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $706M to $875MJul 31, 2024 to Mar 31, 2025
- Pension RAUM · $49.1M to $50.3MJul 31, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $657M to $611MJul 31, 2024 to Mar 31, 2025
- RAUM · $706M to $875MJul 31, 2024 to Mar 31, 2025
- Accounts · 4 to 3Apr 29, 2024 to Jul 31, 2024
- Private funds · 3 to 2Apr 29, 2024 to Jul 31, 2024
- Discretionary RAUM · $646M to $706MApr 29, 2024 to Jul 31, 2024
- Pension RAUM · $45.5M to $49.1MApr 29, 2024 to Jul 31, 2024
- Pooled vehicle RAUM · $600M to $657MApr 29, 2024 to Jul 31, 2024
- RAUM · $646M to $706MApr 29, 2024 to Jul 31, 2024
- Pension plan clients · 0 to 1Mar 31, 2023 to Mar 29, 2024
- Assets in custody · unset to 401519783.0Mar 31, 2023 to Mar 29, 2024
- Custody of client assets · false to trueMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $473M to $646MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $29.7M to $45.5MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $444M to $600MMar 31, 2023 to Mar 29, 2024
- RAUM · $473M to $646MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Jan 12, 2023 to Mar 31, 2023
- Employees · 3 to 2Jan 12, 2023 to Mar 31, 2023
- Financial planning clients · unset to 0Jan 12, 2023 to Mar 31, 2023
- Discretionary RAUM · $445M to $473MJan 12, 2023 to Mar 31, 2023
- Pension RAUM · $31.5M to $29.7MJan 12, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $413M to $444MJan 12, 2023 to Mar 31, 2023
- RAUM · $445M to $473MJan 12, 2023 to Mar 31, 2023
- HQ city · PALO ALTO to unsetAug 25, 2022 to Jan 12, 2023
- HQ state · CA to unsetAug 25, 2022 to Jan 12, 2023
- Accounts · 2 to 4Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 1 to 2Mar 31, 2021 to Mar 31, 2022
- Advisory activities · 1 to 2Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 3Mar 31, 2021 to Mar 31, 2022
- Employees · 1 to 3Mar 31, 2021 to Mar 31, 2022
- Private funds · 2 to 3Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $140M to $445MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · unset to 31532059.0Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $140M to $413MMar 31, 2021 to Mar 31, 2022
- RAUM · $140M to $445MMar 31, 2021 to Mar 31, 2022
- Related bank · true to falseMar 31, 2021 to Mar 31, 2022
- Accounts · 44 to 2Jul 14, 2020 to Mar 31, 2021
- Advisory activities · 2 to 1Jul 14, 2020 to Mar 31, 2021
- Charity clients · unset to 0.0Jul 14, 2020 to Mar 31, 2021
- Corporate clients · unset to 0.0Jul 14, 2020 to Mar 31, 2021
- HNW clients · unset to 0.0Jul 14, 2020 to Mar 31, 2021
- Individual clients · unset to 0.0Jul 14, 2020 to Mar 31, 2021
- Pension plan clients · unset to 0.0Jul 14, 2020 to Mar 31, 2021
- Pooled vehicle clients · 1 to 2Jul 14, 2020 to Mar 31, 2021
- Discretionary RAUM · $100M to $140MJul 14, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $100M to $140MJul 14, 2020 to Mar 31, 2021
- RAUM · $100M to $140MJul 14, 2020 to Mar 31, 2021
Signals
6 dated events
- ••• LockedMar 31, 2026 · private fund no longer reported · inference
- ••• LockedMar 31, 2026 · private fund gav change · fact
- ••• LockedMar 29, 2024 · RAUM change · derived
- ••• LockedMar 31, 2022 · RAUM change · derived
- ••• LockedMar 31, 2021 · ria registration change · fact
Full timeline · 6 eventsShow fewer
- ••• LockedJul 14, 2020 · 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
- Principal office phone
- ••• Lockedreportedpublic 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
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Not yet on record: net advisor flow, 12 months.