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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SEC-registered adviser
F•••••••• F•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 20, 2025 · 3 filings
SEC status approved since Aug 7, 2025
RAUM
$967M
reported, Item 5.F
Discretionary
82%
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
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
25
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$967M as of Mar 31, 2026
Jul 20, 2025$732M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jul 20, 20250 then
Employees (5.A)6 as of Mar 31, 2026
Jul 20, 202511 then
Private funds25 as of Mar 31, 2026
Jul 20, 202523 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; 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
- $38.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 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
- $967M, 25 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$967M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $967M for 25 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••••• F•••• I• L••no longer reported | Venture Capital Fund | $65.0M | 5 | Feb 17, 2022 |
| O••••••••• F••• • F•••••••• F•••• I• L•• | Venture Capital Fund | $33.4M | 3 | Feb 13, 2024 |
| F•••••••• F•••• I• L•• | Venture Capital Fund | $15.1M | 48 | Feb 17, 2022 |
| F• S• O••••••••• V• • F•••••••• F•••• I• L•• | Venture Capital Fund | $7.2M | 3 | Feb 13, 2024 |
| D•• A• S••••• O• F•••••••• F•••• I• L•• | Venture Capital Fund | $6.3M | 79 | Feb 17, 2022 |
| B•• A• S••••• O• F•••••••• F•••• I• L••no longer reported | Venture Capital Fund | $3.9M | 64 | Feb 17, 2022 |
| R• A• S••••• O• F•••••••• F•••• I• L•• | Venture Capital Fund | $2.7M | 64 | Feb 17, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••••• D•••••• · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
- B•••• S••••••• P••••• · Sole Member / Founding Partnercontrolsince 01/2020 · owns 75% or more
- L••••• D••••• A•••• · Chief Financial Officercontrolsince 01/2025 · owns less than 5%
- W••••• D••••• W•••• J• · Chief Operating Officercontrolsince 12/2025 · 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 · 33 to 25Oct 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · 33 to 25Oct 22, 2025 to Mar 31, 2026
- Assets in custody · $804M to $967MOct 22, 2025 to Mar 31, 2026
- HQ city · NEWPORT BEACH to SAN FRANCISCOOct 22, 2025 to Mar 31, 2026
- Other offices · 1 to 2Oct 22, 2025 to Mar 31, 2026
- Private funds · 33 to 25Oct 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $804M to $790MOct 22, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $177MOct 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $804M to $967MOct 22, 2025 to Mar 31, 2026
- RAUM · $804M to $967MOct 22, 2025 to Mar 31, 2026
- Accounts · 23 to 33Jul 20, 2025 to Oct 22, 2025
- Advisory employees · 8 to 3Jul 20, 2025 to Oct 22, 2025
- Pooled vehicle clients · 23 to 33Jul 20, 2025 to Oct 22, 2025
- Assets in custody · $732M to $804MJul 20, 2025 to Oct 22, 2025
- Employees · 11 to 6Jul 20, 2025 to Oct 22, 2025
- Other offices · 2 to 1Jul 20, 2025 to Oct 22, 2025
- Private funds · 23 to 33Jul 20, 2025 to Oct 22, 2025
- Discretionary RAUM · $732M to $804MJul 20, 2025 to Oct 22, 2025
- Pooled vehicle RAUM · $732M to $804MJul 20, 2025 to Oct 22, 2025
- RAUM · $732M to $804MJul 20, 2025 to Oct 22, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- F•••••••• F•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F•••••••• F•••• M••••••••• L•• · Private Equityshared crd · organization
- F•••••••• F•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/factorial-fundsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 209-265-8990reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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