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
Z• I••••••••• M••••••••• L•
Latest filing Mar 28, 2024
First filing on the tape May 3, 2023 · 2 filings
SEC status approved since Jun 2, 2023
RAUM
$860M
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
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$860M gross assets
History
2 filings and snapshots on the tape
RAUM$860M as of Mar 28, 2024
May 3, 2023$835M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
May 3, 20230 then
Employees (5.A)8 as of Mar 28, 2024
May 3, 20237 then
Private funds3 as of Mar 28, 2024
May 3, 20234 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2024; 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
- $287MderivedRAUM 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)
- 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$860M100%
- 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
- $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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• C•••••• I• L• | Other Private Fund | $759M | 2 | Sep 20, 2022 |
| Z• O••••••••• F••• I• L• | Other Private Fund | $100M | 1 | Sep 20, 2022 |
| Z• E••••• P••••••• I• L•• | Other Private Fund | $458,481 | 5 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• R•••••• J•••• · Chief Compliance Officer, Limited Partnercontrolsince 05/2023 · owns less than 5%
- G•••• S••••• B•••• · Limited Partnercontrolsince 07/2022 · owns 50% to 75%
- S••••••• J••••• S•••• · Limited Partnercontrolsince 07/2022 · owns 25% to 50%
- B••••••• R•••••• J•••• · Managing Membercontrolsince 07/2022 · owns 75% or more of V•••••• M••••••••• L••
- G•••• S••••• B•••• · Managing Membercontrolsince 06/2022 · owns 75% or more of O•• O•••••• C••••••• L••
Entity owners
- O•• O•••••• C••••••• L•• · General Partnerdirect · owns less than 5%
- V•••••• M••••••••• L•• · Limited Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- P••••••• C•••••• I• G•• L••pooled vehicle sponsorn
- Z• O••••••••• G• I• 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 3May 3, 2023 to Mar 28, 2024
- Advisory employees · 7 to 8May 3, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2 to 3May 3, 2023 to Mar 28, 2024
- Employees · 7 to 8May 3, 2023 to Mar 28, 2024
- Private funds · 4 to 3May 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $123M to $860MMay 3, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $712M to $0May 3, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $835M to $860MMay 3, 2023 to Mar 28, 2024
- RAUM · $835M to $860MMay 3, 2023 to Mar 28, 2024
Signals
2 dated events
- Z• I••••••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $859.6M)May 2, 2025 · Left the SEC roster · derived
- Z• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)May 3, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Z• I••••••••• 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