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••••• H•••••••• L••
Gross asset value
$35.9M
as of Dec 21, 2018; not a fund size
Peak GAV
$35.9M
highest filing
Owners
26
beneficial owners reported
Minimum investment
$1,000
as reported
Adviser and related own
68%
of the fund
Owned by funds
0%
fund-of-funds interests
Non-US owners
0%
Reported
8 filings
Mar 31, 2017 to Dec 21, 2018
Reporting history
one row per Form ADV filing
Gross asset value$35.9M as of Dec 21, 2018
Mar 31, 2017$20.4M then
Owners26 as of Dec 21, 2018
Mar 31, 20172 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, 14% of the adviser's clients investedreported
- Form D file number
- none reportedreported
Custodians
Schedule D 7.B.(1).A.25, latest filing
- Wells Fargo Securities, LLCSalt Lake City, Utah
Across DFX
shared identifiers only
- C••••••• S••••• H•••••••• 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
- 68%reportedadviser and related persons