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
A••• O••••••••• M••••• F•••• S•• • S••••••••• M••••• P•••••••• B•
Gross asset value
$297M
as of Mar 27, 2024; not a fund size
Peak GAV
$348M
highest filing
Owners
33
beneficial owners reported
Minimum investment
$1.0M
as reported
Adviser and related own
8%
of the fund
Owned by funds
0%
fund-of-funds interests
Non-US owners
12%
Reported
13 filings
Feb 6, 2017 to Mar 27, 2024
Reporting history
one row per Form ADV filing
Gross asset value$297M as of Mar 27, 2024
Feb 6, 2017$23.7M then
Owners33 as of Mar 27, 2024
Feb 6, 201718 then
Structure
- Exclusion
- 3(c)(1), up to 100 ownersreported
- Master or feeder
- master fundreported
- Fund of funds
- noreported
- Organized in
- Cayman Islandsreported
- Clients solicited
- noreported
- Form D file number
- 021-275712reportedthe join to the Form D offering
Custodians
Schedule D 7.B.(1).A.25, latest filing
- Bnp Paribas Securities Corp.New York, New York
- Clear Street LLCNew York, New York
- First Republic BankSan Francisco, California · LEI YWC0TIKBQM2JV8L4IV08
- Hsbc Bank USA, NaBuffalo, New York · LEI 1IE8VN30JCEQV1H4R80
- Mirae Asset Securities (USA) Inc.New York, New York
- National Financial Services LLCBoston, Massachusetts
- Pershing LLCJersey City, New Jersey
- The Kingdom Trust CompanySioux Falls, South Dakota
- Wells Fargo Securities, LLCCharlotte, North Carolina
Across DFX
shared identifiers only
- A••• O••••••••• M••••• F••• S•• • S••••••••• M••••• P•••••••• B• · vcshared adv fund id
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
- 8.0%reportedadviser and related persons