DFX Intelligence

RIA Intelligence

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R•••••• V•••••••

STATE REGISTEREDFormer SEC adviserwebsite

STATE REGISTERED.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 337960 · SEC 802-134345 · 1 filingsShow
CRD 337960SEC 802-134345Legal name R•••••• M••••••••• L••First filing on the tape Mar 30, 2026, latest Mar 30, 2026IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 30, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownreportedItem 5.E
Advisory activities
unknownreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
on the IAPD state feed, not SEC-registeredderived
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• A• S••••• O• C•••••• L••Venture Capital Fund$3.4M3Mar 30, 2026
      M•••••• J•• 2•••• A• S••••• O• C•••••• L••Venture Capital Fund$3.2M3Mar 30, 2026
      T•••••• J••• 2•••• A• S••••• O• C•••••• L••Venture Capital Fund$535,7093Mar 30, 2026
      L•••• A• S••••• O• C•••••• L••Venture Capital Fund$510,2043Mar 30, 2026
      S••• L••• A• S••••• O• C•••••• L••Venture Capital Fund$467,3463Mar 30, 2026
      R•••••• S•••• A• S••••• O• C•••••• L••Venture Capital Fund$423,4693Mar 30, 2026
      S•••••••• A•• 2•••• A• S••••• O• C•••••• L••Venture Capital Fund$332,0833Mar 30, 2026
      J••••••• A• S••••• O• C•••••• L••Venture Capital Fund$256,1223Mar 30, 2026
      L••••••• A• S••••• O• C•••••• L••Venture Capital Fund$255,1023Mar 30, 2026
      S•••••• G•••• J•• 2•••• A• S••••• O• C•••••• L••Venture Capital Fund$255,1023Mar 30, 2026
      M••••••• D•• 2•••• A• S••••• O• C•••••• L••Venture Capital Fund$74,5003Mar 30, 2026
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      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
      One filing, no change to show.
      Signals
      11 dated events
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
      STATE REGISTEREDderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 15, 2026