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

C••••••••• M••••••••• C•••••• S• A•

Former SEC-registered adviserLuxembourg, CRD 304842SEC 801-118305IAPD
Latest filing May 4, 2020
First filing on the tape Feb 25, 2020 · 2 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$107M gross assets
History
2 filings and snapshots on the tape
RAUM$0 as of May 4, 2020
Feb 25, 2020$5.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2020
Feb 25, 20200 then
Employees (5.A)0 as of May 4, 2020
Feb 25, 202015 then
Private funds4 as of May 4, 2020
Feb 25, 20204 then
Practice profile
derived from the filing of May 4, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G• B•••••••• F••• I• S•••Private Equity Fund$80.0M190Feb 25, 2020
      G••• H•••••• V••••••• I• S•••Venture Capital Fund$13.7M25Feb 25, 2020
      M•••• C•••••• F••• ••• S•••Venture Capital Fund$8.2M2Feb 25, 2020
      L••••••• 1• S••Venture Capital Fund$4.9M29Feb 25, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• D•••••• · Directorcontrol
        since 10/2013 · owns less than 5%
      • S•••••• S•• · Directorcontrol
        since 03/2019 · owns less than 5%
      • F•••• D• R••••• M••••••••• · Head Of Legal And Compliance
        since 02/2018 · owns less than 5%
      • M•••••••• M•••••• G••••• · Director
        since 10/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 30 to 0
        Feb 25, 2020 to May 4, 2020
      • Advisory employees · 3 to 0
        Feb 25, 2020 to May 4, 2020
      • Employees · 15 to 0
        Feb 25, 2020 to May 4, 2020
      • Discretionary RAUM · $5.3B to $0
        Feb 25, 2020 to May 4, 2020
      • Non-discretionary RAUM · $370M to $0
        Feb 25, 2020 to May 4, 2020
      • RAUM · $5.7B to $0
        Feb 25, 2020 to May 4, 2020
      Signals
      2 dated events
      • C••••••••• M••••••••• C•••••• S• A• reported RAUM $0, down 100% from $5.7B (2020-02-25 to 2020-05-04)
        May 4, 2020 · RAUM change · derived
      • C••••••••• M••••••••• C•••••• S• A• filed its initial SEC registration (Form ADV)
        Feb 25, 2020 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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