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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Private fund
B•••• S••••• T•••• P•••••••• L•••
Gross asset value
$105M
as of Feb 26, 2024; not a fund size
Peak GAV
$153M
highest filing
Owners
2
beneficial owners reported
Minimum investment
n/a
as reported
Adviser and related own
1%
of the fund
Owned by funds
0%
fund-of-funds interests
Non-US owners
0%
Reported
62 filings
Mar 30, 2019 to Feb 26, 2024
Reporting history
one row per Form ADV filing
Gross asset value$105M as of Feb 26, 2024
Mar 30, 2019$153M then
Owners2 as of Feb 26, 2024
Mar 30, 20192 then
Structure
- Exclusion
- 3(c)(7), qualified purchasersreported
- Master or feeder
- standalonereported
- Fund of funds
- noreported
- Organized in
- Delaware, United Statesreported
- Clients solicited
- yes, 0% of the adviser's clients investedreported
- Form D file number
- 021-276788reportedthe join to the Form D offering
Custodians
Schedule D 7.B.(1).A.25, latest filing
- Joyo BankMito, Japan
- JP Morgan Chase Bank NaBournemouth, United Kingdom
- Morgan Stanley Capital Services LLCNew York, New York
- JP Morgan Chase Bank NaPhoenix, Arizona
- JP Morgan Chase Bank NaSan Antonio, Texas
- JP Morgan Chase Bank, NaLondon, United Kingdom
- JP Morgan Chase Bank, NaNew York, New York
- KeybankNew York, New York
- Leerink Partners LLCBoston, Massachusetts
- Macquarie Bank LimitedSydney, Australia
- Minsheng Bank Shanghai Huashan BranchShanghai, China
- Mizuho BankChuo, Japan
- Morgan Stanley Capital Services LLCNew York, New York
- Morgan Stanley Smith Barney LLCNew York, New York
- Nordea Bank Finland Plc.Copenhagen, Denmark
- RabobankUtrecth, Netherlands
- SantanderSau Polo, Brazil
- Santander Securities Services Brasil Dtvm S.A.Sau Polo, Brazil
- Shinsei Bank, LimitedTokyo, Japan
- Societe Generale FranceParis, France
Across DFX
shared identifiers only
- B•••• S••••• T•••• P•••••••• L••• · peshared adv fund id
Provenance
- Source
- Form ADV Schedule D 7.B.(1), every filing 2011 to 2024reportedadviserinfo.sec.gov
- Status
- on the adviser's latest filing in the extractderived
- Share
- 1.0%reportedadviser and related persons