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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A••••••• C••••••• L•
Latest filing Mar 31, 2023
First filing on the tape Mar 10, 2020 · 6 filings
RAUM
$268M
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
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$181M gross assets
History
6 filings and snapshots on the tape
RAUM$268M as of Mar 31, 2023
Mar 31, 2021$325M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20210 then
Employees (5.A)5 as of Mar 31, 2023
Mar 31, 202111 then
Private funds2 as of Mar 31, 2023
Mar 31, 20212 then
RAUM -23% over the last fiscal yearIARs 0 to 0offices 3 to 1
Practice profile
derived from the filing of Mar 31, 2023; 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
- $134MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%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
- Custody
- $181M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$268M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $181M for 2 clientsreported
- Compensation
- % of AUM, 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• G••••• H••••• T••••••••• F•••• L••• | Venture Capital Fund | $222M | 21 | May 13, 2019 |
| A••••••• G••••• H••••• T••••••••• F••• D•• L••• | Venture Capital Fund | $41.6M | 14 | Mar 10, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A•••• K••••• · Partnercontrolsince 08/2022 · owns less than 5%
- R••••••• G••••• A•••••• · Managing Partnercontrolsince 05/2019 · owns 75% or more
- Y••••••• E•••••• B••• · Director Of Finance And Compliance; Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• C•••••• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 9 to 4Sep 15, 2022 to Mar 31, 2023
- Assets in custody · $199M to $181MSep 15, 2022 to Mar 31, 2023
- Employees · 10 to 5Sep 15, 2022 to Mar 31, 2023
- Other offices · 3 to 1Sep 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $347M to $268MSep 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $347M to $268MSep 15, 2022 to Mar 31, 2023
- RAUM · $347M to $268MSep 15, 2022 to Mar 31, 2023
- Assets in custody · $120M to $199MMar 31, 2021 to Mar 31, 2022
- Employees · 11 to 10Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $325M to $347MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $325M to $347MMar 31, 2021 to Mar 31, 2022
- RAUM · $325M to $347MMar 31, 2021 to Mar 31, 2022
- Advisory employees · 7 to 9Mar 10, 2020 to Mar 31, 2021
- Assets in custody · $202M to $120MMar 10, 2020 to Mar 31, 2021
- Employees · 8 to 11Mar 10, 2020 to Mar 31, 2021
- Other offices · 1 to 3Mar 10, 2020 to Mar 31, 2021
- Private funds · 4 to 2Mar 10, 2020 to Mar 31, 2021
- Discretionary RAUM · $202M to $325MMar 10, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $202M to $325MMar 10, 2020 to Mar 31, 2021
- RAUM · $202M to $325MMar 10, 2020 to Mar 31, 2021
Signals
4 dated events
- Chong-Heng Jenny Yip (Managing Partner) no longer on Schedule A of A••••••• C••••••• L• (listed 2022-03-31, absent 2022-09-15)Sep 15, 2022 · Control person left · inference
- K••••• A••• (Partner) appeared on Schedule A of A••••••• C••••••• L•Sep 15, 2022 · Control person joined · fact
- A••••••• C••••••• L• reported RAUM $324.5M, up 61% from $202.0M (2020-03-10 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A••••••• C••••••• L• filed its initial SEC registration (Form ADV)Mar 10, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••• C••••••• L• · Private Equityshared crd · organization
- A••••••• C••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/adjuvant-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- adjuvantcapital.comreportedpublic record, Form ADV, Sep 18, 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
- 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