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

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Other Private Fundadvised byS••••• A•••• S••••••••• W••••• M••••••••• L••former805-5582070768IAPD
Gross asset value
$6.6M
as of Mar 23, 2015; not a fund size
Peak GAV
$9.1M
highest filing
Owners
1
beneficial owners reported
Minimum investment
$50,000
as reported
Adviser and related own
100%
of the fund
Owned by funds
0%
fund-of-funds interests
Non-US owners
0%
Reported
12 filings
Mar 28, 2012 to Mar 23, 2015
Reporting history
one row per Form ADV filing
Gross asset value$6.6M as of Mar 23, 2015
Mar 28, 2012$7.6M then
Owners1 as of Mar 23, 2015
Mar 28, 20121 then
Structure
Exclusion
3(c)(1), up to 100 ownersreported
Master or feeder
standalonereported
Fund of funds
noreported
Organized in
Washington, United Statesreported
Clients solicited
yes, 80% of the adviser's clients investedreported
Form D file number
021-173893reportedthe join to the Form D offering
Type as written
PROMISSORY NOTE FUNDreported
Custodians
Schedule D 7.B.(1).A.25, latest filing
  • Huntington National Bank
    Columbus, Ohio
Across DFX
shared identifiers only
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
100%reportedadviser and related persons