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
P••••••• I••••••••• M••••••••• L••
Latest filing Sep 22, 2023
First filing on the tape Aug 24, 2021 · 9 filings
RAUM
$137M
reported, Item 5.F
Discretionary
86%
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
$137M gross assets
History
9 filings and snapshots on the tape
RAUM$140M as of Mar 31, 2023
Mar 31, 2022$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20220 then
Employees (5.A)6 as of Mar 31, 2023
Mar 31, 20228 then
Private funds10 as of Mar 31, 2023
Mar 31, 202210 then
RAUM -32% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 22, 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
- $13.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%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
- -30%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
- yesreportedItem 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$137M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• C•••••• G•••• L• | Hedge Fund | $48.4M | 94 | Mar 29, 2019 |
| D•••••• C•••••• G•••• I• L• | Venture Capital Fund | $37.4M | 81 | Nov 24, 2020 |
| P••••••• G••••• F••• I• L• | Venture Capital Fund | $17.4M | 51 | Aug 24, 2021 |
| P••••••• C•••••• S•••••••• 3• L•• | Venture Capital Fund | $4.0M | 41 | Aug 24, 2021 |
| P••••••• C•••••• S•••••••• 6• L•• | Venture Capital Fund | $2.4M | 8 | Aug 24, 2021 |
| P••••••• C•••••• S•••••••• 5• L•• | Venture Capital Fund | $2.2M | 11 | Aug 24, 2021 |
| P••••••• C•••••• S•••••••• 1• L•• | Venture Capital Fund | $1.8M | 14 | Aug 24, 2021 |
| P••••••• C•••••• S•••••••• 7• L•• | Venture Capital Fund | $891,024 | 23 | Aug 24, 2021 |
| P••••••• C•••••• S•••••••• 4• L•• | Venture Capital Fund | $658,290 | 14 | Aug 24, 2021 |
| P••••••• C•••••• S•••••••• 2• L•• | Venture Capital Fund | $112,845 | 16 | Aug 24, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••• J••••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- P•••••• E••••• L••••• · Manager And Membercontrolsince 11/2018 · owns 50% to 75%
- P•••••• M•••••• C••• · Manager And Membercontrolsince 11/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••••• A•••• M••••••••• L••pooled vehicle sponsorn
- P••••••• C•••••• V•••••••• L••pooled vehicle sponsorn
- P••••••• G••••• V•••••••• 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 10Jun 2, 2023 to Sep 22, 2023
- Advisory employees · 6 to 5Jun 2, 2023 to Sep 22, 2023
- Advisory activities · 2 to 1Jun 2, 2023 to Sep 22, 2023
- Employees · 6 to 5Jun 2, 2023 to Sep 22, 2023
- Discretionary RAUM · $121M to $117MJun 2, 2023 to Sep 22, 2023
- RAUM · $140M to $137MJun 2, 2023 to Sep 22, 2023
- Related adviser · true to falseJun 2, 2023 to Sep 22, 2023
- Employees · 8 to 6Sep 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $182M to $121MSep 12, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $18.3M to $19.1MSep 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $193M to $137MSep 12, 2022 to Mar 31, 2023
- RAUM · $200M to $140MSep 12, 2022 to Mar 31, 2023
- Employees · 7 to 8Dec 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $186M to $182MDec 8, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $10.2M to $18.3MDec 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $196M to $193MDec 8, 2021 to Mar 31, 2022
- RAUM · $196M to $200MDec 8, 2021 to Mar 31, 2022
- Advisory employees · 5 to 6Aug 26, 2021 to Dec 8, 2021
- Insurance-licensed employees · 2 to 0Aug 26, 2021 to Dec 8, 2021
- Private funds · 20 to 10Aug 24, 2021 to Aug 26, 2021
Signals
1 dated events
- P••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 24, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• I••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/poseidon-asset-management-llc-?goback=.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- poseidon.partnersreportedpublic 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