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

S••• L••• M••••••••• L•

Former SEC-registered adviserMenlo Park, CaliforniaCRD 322971SEC 801-126740IAPD
Latest filing Apr 5, 2023
First filing on the tape Sep 14, 2022 · 3 filings
RAUM
$563M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$563M gross assets
History
3 filings and snapshots on the tape
RAUM$563M as of Apr 5, 2023
Sep 14, 2022$0 then
HNW client RAUM$0 as of Apr 5, 2023
Sep 14, 2022$0 then
State-registered IARs (5.B.3)0 as of Apr 5, 2023
Sep 14, 20220 then
Employees (5.A)1 as of Apr 5, 2023
Sep 14, 20221 then
Private funds3 as of Apr 5, 2023
Jan 20, 20233 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 5, 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
$80.4MderivedRAUM 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 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
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • 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$563M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7reported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••• L••• C•••• M••••• F•••• L••Hedge Fund$407M82Mar 29, 2012
      S••• L••• C•••• M••••• L••• F•••• L•••Hedge Fund$120M8Mar 30, 2016
      S••• L••• C• F••• I•Hedge Fund$35.2M1Jan 20, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • M•• S•••• •••• · L•••••• Partner / Chief Executive Officer / Chief Compliance Officercontrol
        since 07/2022 · owns 75% or more
      • M•• S•••• •••• · Managing Membercontrol
        since 07/2022 · owns 75% or more of S••• L••• M••••••••• L••
      Entity owners
      • S••• L••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 7
        Sep 14, 2022 to Jan 20, 2023
      • Pooled vehicle clients · 0 to 7
        Sep 14, 2022 to Jan 20, 2023
      • Assets in custody · unset to 0.0
        Sep 14, 2022 to Jan 20, 2023
      • Custody of client assets · false to true
        Sep 14, 2022 to Jan 20, 2023
      • Private funds · unset to 3
        Sep 14, 2022 to Jan 20, 2023
      • Discretionary RAUM · $0 to $563M
        Sep 14, 2022 to Jan 20, 2023
      • Pooled vehicle RAUM · $0 to $563M
        Sep 14, 2022 to Jan 20, 2023
      • RAUM · $0 to $563M
        Sep 14, 2022 to Jan 20, 2023
      Signals
      1 dated events
      • S••• L••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Sep 14, 2022 · 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.
      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