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
N•••••• G•• P••••••• V••• L•••
Gross asset value
$13.1M
as of Mar 30, 2016; not a fund size
Peak GAV
$349M
highest filing
Owners
72
beneficial owners reported
Minimum investment
n/a
as reported
Adviser and related own
2%
of the fund
Owned by funds
17%
fund-of-funds interests
Non-US owners
0%
Reported
7 filings
Feb 14, 2012 to Mar 30, 2016
Reporting history
one row per Form ADV filing
Gross asset value$13.1M as of Mar 30, 2016
Feb 14, 2012$349M then
Owners72 as of Mar 30, 2016
Feb 14, 201272 then
Structure
- Exclusion
- 3(c)(7), qualified purchasersreported
- Master or feeder
- standalonereported
- Fund of funds
- noreported
- Organized in
- Delaware, United Statesreported
- Clients solicited
- noreported
- Form D file number
- none reportedreported
Custodians
Schedule D 7.B.(1).A.25, latest filing
- Altacorp Capital (USA) Inc.Calgary, Canada
- Cibc World Markets Corp.Toronto, Canada
- Comerica BankMenlo Park, California
- Comerica SecuritiesCosta Mesa, California
- Firstenergy Capital (USA) Corp.Calgary, Canada
- Gmp Securities, LLCToronto, Canada
- Goldman, Sachs & Co.Dallas, Texas
- Td Securities (USA) LLCNew York, New York
- UBS Financial Services Inc.Dallas, Texas
Across DFX
shared identifiers only
- N•••••• G•• P••••••• V••• 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
- 2.0%reportedadviser and related persons