DFX Intelligence
RIA Intelligence
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SEC-registered adviser
I••• • C••
Legal name I••• • C•• M••••••••• L•••
Latest filing Aug 14, 2026
First filing on the tape Mar 7, 2019 · 13 filings
SEC status approved since Apr 10, 2019
RAUM
$486M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$486M as of Aug 14, 2026
Mar 31, 2020$2.0B then
HNW client RAUM$0 as of Aug 14, 2026
Mar 31, 2020$0 then
State-registered IARs (5.B.3)0 as of Aug 14, 2026
Mar 31, 20200 then
Employees (5.A)7 as of Aug 14, 2026
Mar 31, 20203 then
Private funds10 as of Aug 14, 2026
Mar 31, 20202 then
RAUM +11% over the last fiscal year+2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 14, 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
- $34.7MderivedRAUM 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
- +11%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $24.3M, 14 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$486M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.3M for 14 clientsreported
- Compensation
- % of AUM, fixed, 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••• C•••• P•••••• V•••••• M•••••• M•••••• I•• L••• | Other Private Fund | $113M | 39 | Mar 30, 2023 |
| I••• C•••• P•••••• V•••••• M•••••• L• | Other Private Fund | $108M | 55 | Aug 14, 2019 |
| I••• U• V•••••• M•••••• I•• L• | Other Private Fund | $68.3M | 24 | Mar 30, 2022 |
| I••• U• V•••••• M•••••• L• | Other Private Fund | $34.1M | 12 | Aug 14, 2019 |
| I••• A••••• H••••••• I•• L••• | Other Private Fund | $25.3M | 9 | Mar 30, 2023 |
| A•••• F••••• C••••• L••• | Other Private Fund | $18.3M | 15 | Mar 30, 2023 |
| I••• S• H••••••• L• | Other Private Fund | $12.8M | 11 | Mar 30, 2021 |
| I••• A••••• H••••••• L• | Other Private Fund | $10.4M | 6 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- J••••• H••• L•• · General Partnercontrolsince 03/2019 · owns 75% or more
- G••••••• E•••••• J••• · Chief Compliance Officersince 05/2019 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• F••••• G•• L••pooled vehicle sponsorn
- I••• C•••• P•••••• V•••••• M•••••• G• L••pooled vehicle sponsorn
- I••• C•••• P•••••• V•••••• M•••••• I• G•• L•pooled vehicle sponsorn
- I••• U• V•••••• M•••••• G• L••pooled vehicle sponsorn
- I••• V•••••• M•••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 14Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 14Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $31.3M to $24.3MMar 31, 2025 to Mar 31, 2026
- Employees · 6 to 7Mar 31, 2025 to Mar 31, 2026
- Private funds · 8 to 10Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $439M to $486MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $439M to $486MMar 31, 2025 to Mar 31, 2026
- RAUM · $439M to $486MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $27.2M to $31.3MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $440M to $439MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $440M to $439MMar 27, 2024 to Mar 31, 2025
- RAUM · $440M to $439MMar 27, 2024 to Mar 31, 2025
- Assets in custody · $27.1M to $27.2MMay 5, 2023 to Mar 27, 2024
- Discretionary RAUM · $447M to $440MMay 5, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $447M to $440MMay 5, 2023 to Mar 27, 2024
- RAUM · $447M to $440MMay 5, 2023 to Mar 27, 2024
- Accounts · 7 to 11Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 3 to 4Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 7 to 11Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $11.5M to $27.1MMar 30, 2022 to Mar 30, 2023
- Employees · 5 to 6Mar 30, 2022 to Mar 30, 2023
- Private funds · 5 to 8Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $278M to $447MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $278M to $447MMar 30, 2022 to Mar 30, 2023
- RAUM · $278M to $447MMar 30, 2022 to Mar 30, 2023
- Accounts · 6 to 7Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 5 to 7Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $4.5M to $11.5MMar 30, 2021 to Mar 30, 2022
- Employees · 4 to 5Mar 30, 2021 to Mar 30, 2022
- Private funds · 4 to 5Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $163M to $278MMar 30, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $2.4B to $0Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $163M to $278MMar 30, 2021 to Mar 30, 2022
- RAUM · $2.6B to $278MMar 30, 2021 to Mar 30, 2022
- Accounts · 4 to 6Oct 7, 2020 to Mar 30, 2021
- Advisory employees · 2 to 3Oct 7, 2020 to Mar 30, 2021
- Pooled vehicle clients · 3 to 5Oct 7, 2020 to Mar 30, 2021
- Assets in custody · $3.5M to $4.5MOct 7, 2020 to Mar 30, 2021
- Employees · 3 to 4Oct 7, 2020 to Mar 30, 2021
Signals
5 dated events
- I••• • C•• reported RAUM $447.0M, up 61% from $278.4M (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- I••• • C•• reported RAUM $278.4M, down 89% from $2.6B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- I••• • C•• reported RAUM $2.6B, up 29% from $2.0B (2020-10-07 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- I••• • C•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 15, 2019 · Succession (Item 4) · fact
- I••• • C•• filed its initial SEC registration (Form ADV)Mar 7, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I••• • C•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- i•••.coreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 415-228-8254reportedpublic record, Form ADV, Aug 14, 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