DFX Intelligence
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Former SEC-registered adviser
1•• C•••••• M••••••••• L•
Latest filing May 2, 2025
First filing on the tape Jun 29, 2024 · 3 filings
SEC status approved since Jul 29, 2024
RAUM
$285M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$285M as of May 2, 2025
Mar 28, 2025$285M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 2, 2025
Mar 28, 20250 then
Employees (5.A)4 as of May 2, 2025
Mar 28, 20254 then
Private funds2 as of May 2, 2025
Mar 28, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 2, 2025; 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
- $57.0MderivedRAUM 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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $285M, 5 clientsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$285M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $285M for 5 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 |
|---|---|---|---|---|
| 1•• P••••• F••• L•• | Hedge Fund | $171M | 18 | Feb 25, 2022 |
| 1•• V••••• M••••• F••• L• | Hedge Fund | $31.9M | 2 | Jun 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• B••••• W•••• · Coo - Chief Operating Officer / Cco - Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- Z•••••• I••• · Cio - Chief Investment Officer, Limited Partnercontrolsince 02/2022 · owns 75% or more
- C••••• M••••••• R••••••• · Membercontrolsince 02/2022 · owns 50% to 75% of 1•• C•••••• M••••••••• G• L••
- Z•••••• I••• · Membercontrolsince 02/2022 · owns 50% to 75% of 1•• C•••••• M••••••••• G• L••
Entity owners
- 1•• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- 1•• C•••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $285M to $285MMar 28, 2025 to May 2, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 2, 2025
- Discretionary RAUM · $285M to $285MMar 28, 2025 to May 2, 2025
- Pooled vehicle RAUM · $285M to $285MMar 28, 2025 to May 2, 2025
- RAUM · $285M to $285MMar 28, 2025 to May 2, 2025
- Assets in custody · $203M to $285MJun 29, 2024 to Mar 28, 2025
- HQ city · unset to Jun 29, 2024 to Mar 28, 2025
- HQ state · unset to Jun 29, 2024 to Mar 28, 2025
- Private funds · 4 to 2Jun 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $203M to $285MJun 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $203M to $285MJun 29, 2024 to Mar 28, 2025
- RAUM · $203M to $285MJun 29, 2024 to Mar 28, 2025
Signals
2 dated events
- 1•• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $284.9M)Feb 2, 2026 · Left the SEC roster · derived
- 1•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 29, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1•• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
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