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

W•••••• S••••••• I•••••••• L••

Hedge Fundadvised byW•••••• C•••••• L•asset manager805-6567124823no longer reportedIAPD
Gross asset value
$799M
as of Mar 28, 2019; not a fund size
Peak GAV
$3.3B
highest filing
Owners
285
beneficial owners reported
Minimum investment
$5.0M
as reported
Adviser and related own
62%
of the fund
Owned by funds
9%
fund-of-funds interests
Non-US owners
10%
Reported
20 filings
Mar 30, 2012 to Mar 28, 2019
Reporting history
one row per Form ADV filing
Gross asset value$799M as of Mar 28, 2019
Mar 30, 2012$3.3B then
Owners285 as of Mar 28, 2019
Mar 30, 2012493 then
Structure
Exclusion
3(c)(7), qualified purchasersreported
Master or feeder
standalonereported
Fund of funds
noreported
Organized in
Delaware, United Statesreported
Clients solicited
yes, 8% of the adviser's clients investedreported
Form D file number
none reportedreported
Custodians
Schedule D 7.B.(1).A.25, latest filing
  • Barclays Bank Plc
    London, United Kingdom · LEI G5GSEF7VJP5I7OUK5573
  • Btig, LLC
    New York, New York
  • Citibank, N.A.
    New York, New York · LEI E57ODZWZ7FF32TWEFA76
  • Goldman Sachs & Co. LLC
    New York, New York
  • Goldman Sachs International
    London, United Kingdom · LEI W22LROWP2IHZNBB6K528
  • Industrial And Commercial Bank Of China Financial Services LLC
    New York, New York
  • Intl Fcstone Markets, LLC
    New York, New York · LEI Y4ZLLK11NDZZ8YBSVF78
  • Standard Chartered Bank (Mauritius) Limited
    Ebene, Mauritius · LEI 549300R0Q58QYRNZLS10
  • Wells Fargo Bank, N.A.
    San Francisco, California · LEI KB1H1DSPRFMYMCUFXT09
  • Wells Fargo Securities, LLC
    San Francisco, California
Across DFX
shared identifiers only
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
62%reportedadviser and related persons