DFX Intelligence

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B•••••• C•••••• M••••••••• L••

Institutional managerSEC-registered1 private funds· San Francisco, Californiawebsite

Institutional manager, based in San Francisco, California, reporting $136M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $136M
Advisors: 0
RAUM change, 1 year: +8.8%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Mar 2026, RAUM $125M to $136M (+8.8%) on the Form ADV filed 25 Mar 2026.

Every filed figure, and the identifiersCRD 312294 · SEC 801-122833 · 11 filingsShow

CRD 312294SEC 801-122833First filing on the tape Nov 8, 2021, latest Mar 25, 2026SEC status approved since Dec 8, 2021IAPD

RAUM

$136M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM +25% a year over three years · the tape starts Nov 8, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$136M as of Mar 25, 2026

Mar 25, 2022$129M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2026

Mar 25, 20220 then

Employees (5.A)1 as of Mar 25, 2026

Mar 25, 20223 then

Private funds1 as of Mar 25, 2026

Mar 25, 20221 then

RAUM +8.8% over the last fiscal year+25% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

Archetypes

Institutional asset manager

The rule behind each archetype, and every derived figure1 ruleShow

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

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: $68.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +8.8%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-based, otherreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $8.9M, 1 clientreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

93% sovereign wealth funds, 6.6% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow

Sovereign wealth funds$127M93%
Pooled investment vehicles$8.9M6.6%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $8.9M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 7% pooled funds, 93% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
B•••••• P•••••••• L•	Hedge Fund	$8.9M	16	Nov 8, 2021

Owners and control persons

Schedule A and B, latest filing

K•••••• C••••••••• B•••••• · Managing Member, Ccocontrol
since 02/2020 · owns 75% or more

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

Assets in custody · $8.4M to $8.9M
Mar 28, 2025 to Mar 25, 2026
Discretionary RAUM · $125M to $136M
Mar 28, 2025 to Mar 25, 2026
Pooled vehicle RAUM · $8.4M to $8.9M
Mar 28, 2025 to Mar 25, 2026
RAUM · $125M to $136M
Mar 28, 2025 to Mar 25, 2026
Advisory employees · 2 to 1
Jan 6, 2025 to Mar 28, 2025

Full history · 26 changes

Assets in custody · $6.8M to $8.4M
Jan 6, 2025 to Mar 28, 2025
Employees · 2 to 1
Jan 6, 2025 to Mar 28, 2025
Financial planning clients · unset to
Jan 6, 2025 to Mar 28, 2025
Discretionary RAUM · $91.0M to $125M
Jan 6, 2025 to Mar 28, 2025
Pooled vehicle RAUM · $6.8M to $8.4M
Jan 6, 2025 to Mar 28, 2025
RAUM · $91.0M to $125M
Jan 6, 2025 to Mar 28, 2025
Assets in custody · $14.7M to $6.8M
Aug 17, 2023 to Mar 19, 2024
Discretionary RAUM · $69.0M to $91.0M
Aug 17, 2023 to Mar 19, 2024
Pooled vehicle RAUM · $14.8M to $6.8M
Aug 17, 2023 to Mar 19, 2024
RAUM · $69.0M to $91.0M
Aug 17, 2023 to Mar 19, 2024
Advisory employees · 3 to 2
Apr 29, 2022 to Mar 28, 2023
Assets in custody · $27.0M to $14.7M
Apr 29, 2022 to Mar 28, 2023
Employees · 3 to 2
Apr 29, 2022 to Mar 28, 2023
Discretionary RAUM · $129M to $69.0M
Apr 29, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $27.1M to $14.8M
Apr 29, 2022 to Mar 28, 2023
RAUM · $129M to $69.0M
Apr 29, 2022 to Mar 28, 2023
Accounts · 1 to 2
Nov 8, 2021 to Mar 25, 2022
Assets in custody · $29.0M to $27.0M
Nov 8, 2021 to Mar 25, 2022
Discretionary RAUM · $29.2M to $129M
Nov 8, 2021 to Mar 25, 2022
Pooled vehicle RAUM · $29.2M to $27.1M
Nov 8, 2021 to Mar 25, 2022
RAUM · $29.2M to $129M
Nov 8, 2021 to Mar 25, 2022

Signals

4 dated events

••• Locked
Dec 3, 2024 · Control person left · inference
••• Locked
Aug 17, 2023 · Control person joined · fact
••• Locked
Aug 17, 2023 · Control person left · inference
••• Locked
Nov 8, 2021 · 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, Dec 3, 2024

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Institutional managerderiveda 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.