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••••••• R••••• F•••• L••

Other Private Fundadvised byM••••••• P•••••••• L••asset manager805-7717821289IAPD
Gross asset value
$1.2B
as of May 10, 2024; not a fund size
Peak GAV
$1.3B
highest filing
Owners
730
beneficial owners reported
Minimum investment
$1.0M
as reported
Adviser and related own
2%
of the fund
Owned by funds
0%
fund-of-funds interests
Non-US owners
5%
Reported
17 filings
Mar 27, 2019 to May 10, 2024
Reporting history
one row per Form ADV filing
Gross asset value$1.2B as of May 10, 2024
Mar 27, 2019$15.0M then
Owners730 as of May 10, 2024
Mar 27, 201938 then
Structure
Exclusion
3(c)(7), qualified purchasersreported
Master or feeder
master fundreported
Fund of funds
yesreported
Organized in
Delaware, United Statesreported
Clients solicited
noreported
Form D file number
021-328943reportedthe join to the Form D offering
Type as written
SPECIALTY FUNDreported
Custodians
Schedule D 7.B.(1).A.25, latest filing
  • Northern Trust
    Jersey City, New Jersey
  • Bank Of America, National Association
    Charlotte, North Carolina · LEI B4TYDEB6GKMZO031MB27
  • Bnp Paribas
    Oslo, Norway · LEI R0MUWSFPU8MPRO8K5P83
  • Citizens Bank, National Association
    R•••••Ide, Rhode Island · LEI DRMSV1Q0EKMEXLAU1P80
  • East West Bank
    El Monte, California · LEI F28JOQ8OBWCFUYM0UX93
  • First-Citizens Bank & Trust Company
    Raleigh, North Carolina · LEI L9VVX1KT5TFTKS0MLF66
  • Pnc Bank, National Association
    Pittsburgh, Pennsylvania · LEI AD6GFRVSDT01YPT1CS68
  • Td Bank, National Association
    Lewiston, Maine · LEI 03D0JEWFDFUS0SEEKG89
  • UBS Financial Services Inc.
    El Segundo, California · LEI ETYRV6ORNFJB5NONI676
  • Wells Fargo, Na
    Minneapolis, Minnesota
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
2.0%reportedadviser and related persons