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
D•••••• T•••••• L••••••
Gross asset value
$162M
as of Mar 28, 2024; not a fund size
Peak GAV
$186M
highest filing
Owners
26
beneficial owners reported
Minimum investment
$1.0M
as reported
Adviser and related own
72%
of the fund
Owned by funds
1%
fund-of-funds interests
Non-US owners
50%
Reported
27 filings
Mar 30, 2012 to Mar 28, 2024
Reporting history
one row per Form ADV filing
Gross asset value$162M as of Mar 28, 2024
Mar 30, 2012$4.4M then
Owners26 as of Mar 28, 2024
Mar 30, 201287 then
Structure
- Exclusion
- 3(c)(7), qualified purchasersreported
- Master or feeder
- master fundreported
- Fund of funds
- noreported
- Organized in
- Cayman Islandsreported
- Clients solicited
- noreported
- Form D file number
- 021-69099reportedthe join to the Form D offering
Custodians
Schedule D 7.B.(1).A.25, latest filing
- American Stock Transfer & Trust Company, LLCBrooklyn, New York · LEI 254900TS5EWP83BEOU02
- Barclays Bank PlcLondon, United Kingdom · LEI G5GSEF7VJP5I7OUK5573
- Computershare Trust Company, N.A.Louisville, Kentucky · LEI 2549001YYB62BVMSAO13
- Daiwa Capital Markets America Inc.New York, New York
- Goldman Sachs & Co. LLCNew York, New York
- Goldman Sachs Bank USANew York, New York · LEI KD3XUN7C6T14HNAYLU02
- Goldman Sachs InternationalLondon, United Kingdom · LEI W22LROWP2IHZNBB6K528
- Industrial And Commercial Bank Of China Financial Services LLCNew York, New York
- Jpmorgan Chase Bank, N.A.New York, New York · LEI 7H6GLXDRUGQFU57RNE97
- Stonex Financial Inc.Winter Park, Florida
- Stonex Markets, LLCChicago, Illinois · LEI Y4ZLLK11NDZZ8YBSVF78
- UBS AgLondon, United Kingdom · LEI BFM8T61CT2L1QCEMIK50
- UBS Securities LLCNew York, New York
- Wells Fargo Bank, N.A.San Francisco, California · LEI KB1H1DSPRFMYMCUFXT09
- Wells Fargo Securities, LLCSan Francisco, California
Across DFX
shared identifiers only
This fund id is not on the venture or private equity graphs.
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
- 72%reportedadviser and related persons