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
C••••••••• S••• F••• I•• L•••
Other Private Fundadvised byC••••••• I••••••••• A•••••••• L••former805-3601003603no longer reportedIAPD
Gross asset value
$23.0M
as of Jan 2, 2015; not a fund size
Peak GAV
$23.0M
highest filing
Owners
102
beneficial owners reported
Minimum investment
$100,000
as reported
Adviser and related own
20%
of the fund
Owned by funds
0%
fund-of-funds interests
Non-US owners
0%
Reported
6 filings
Dec 7, 2012 to Jan 2, 2015
Reporting history
one row per Form ADV filing
Gross asset value$23.0M as of Jan 2, 2015
Dec 7, 2012$5.2M then
Owners102 as of Jan 2, 2015
Dec 7, 20121 then
Structure
- Exclusion
- 3(c)(1), up to 100 ownersreported
- Master or feeder
- standalonereported
- Fund of funds
- noreported
- Organized in
- Delaware, United Statesreported
- Clients solicited
- yes, 25% of the adviser's clients investedreported
- Form D file number
- 021-194475reportedthe join to the Form D offering
- Type as written
- S••• (SMALL BUSINESS INVESTMENT COMPANY) LICENSE PENDINGreported
Custodians
Schedule D 7.B.(1).A.25, latest filing
- U.S. Bank Fund Services, LLCMilwaukee, Wisconsin
Across DFX
shared identifiers only
- C••••••••• S••• F••• I•• L••• · peshared adv fund id
Provenance
- Source
- Form ADV Schedule D 7.B.(1), every filing 2011 to 2024reportedadviserinfo.sec.gov
- Status
- not on the adviser's later filingsderived
- Share
- 20%reportedadviser and related persons