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

U•••• B••• C••••••• L••

Former SEC-registered adviserSan Jose, CaliforniaCRD 316247SEC 801-122668IAPD
Latest filing Jan 26, 2023
First filing on the tape Oct 11, 2021 · 9 filings
RAUM
$46.3M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$45.0M gross assets
History
9 filings and snapshots on the tape
RAUM$46.3M as of Jan 26, 2023
Oct 11, 2021$35.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 26, 2023
Oct 11, 20210 then
Employees (5.A)6 as of Jan 26, 2023
Oct 11, 202128 then
Private funds2 as of Jan 26, 2023
Oct 11, 20214 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 26, 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
$15.4MderivedRAUM 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
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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$45.0M, 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$45.0M97%
  • Investment companies$1.4M2.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$45.0M 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      U•••• B••• C•••••• S••••••••• D••••••••• F•••• L•••Hedge Fund$31.4M2Aug 13, 2021
      U•••• B••• C•••••• F•••• L•••Hedge Fund$3.1M9Aug 13, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••• P•••• · Chief Executive Officercontrol
        since 11/2020 · owns less than 5%
      • T••••••• P•••• · Shareholdercontrol
        since 11/2020 · owns 25% to 50% of B•• D••• F••••••••• I•••
      • H••••• C••••••••• R•••••• · Chief Compliance Officer
        since 01/2023 · owns less than 5%
      Entity owners
      • B•• D••• F••••••••• I••• · Member
        direct · owns 75% or more
      • N•• E••••••••• A••••••••• 1•• L••• · Shareholder
        indirect · owns 25% to 50% of B•• D••• F••••••••• I•••
      Related persons
      Schedule D 7.A
      • U•••• B••• C•••••• G• I•• L••
        pooled vehicle sponsorn
      • U•••• B••• C•••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Nov 12, 2021 to Mar 28, 2022
      • Advisory employees · 12 to 6
        Nov 12, 2021 to Mar 28, 2022
      • Advisory activities · 1 to 2
        Nov 12, 2021 to Mar 28, 2022
      • Assets in custody · $35.2M to $45.0M
        Nov 12, 2021 to Mar 28, 2022
      • Employees · 28 to 6
        Nov 12, 2021 to Mar 28, 2022
      • Financial planning clients · 0 to unset
        Nov 12, 2021 to Mar 28, 2022
      • Discretionary RAUM · $35.2M to $46.3M
        Nov 12, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $35.2M to $45.0M
        Nov 12, 2021 to Mar 28, 2022
      • RAUM · $35.2M to $46.3M
        Nov 12, 2021 to Mar 28, 2022
      • Private funds · 4 to 2
        Oct 11, 2021 to Oct 15, 2021
      Signals
      1 dated events
      • U•••• B••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 11, 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
      Website
      ultrabluecap.comreportedpublic record, Form ADV, Sep 19, 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