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•••••• P••••• E••••• P•••••••• L•••
Gross asset value
$290M
as of Jan 18, 2013; not a fund size
Peak GAV
$290M
highest filing
Owners
267
beneficial owners reported
Minimum investment
$25.0M
as reported
Adviser and related own
1%
of the fund
Owned by funds
11%
fund-of-funds interests
Non-US owners
13%
Reported
5 filings
Feb 10, 2012 to Jan 18, 2013
Reporting history
one row per Form ADV filing
Gross asset value$290M as of Jan 18, 2013
Feb 10, 2012$290M then
Owners267 as of Jan 18, 2013
Feb 10, 2012116 then
Structure
- Exclusion
- 3(c)(7), qualified purchasersreported
- Master or feeder
- master fundreported
- Fund of funds
- noreported
- Organized in
- Delaware, United Statesreported
- Clients solicited
- noreported
- Form D file number
- none reportedreported
Custodians
Schedule D 7.B.(1).A.25, latest filing
- Barclays Capital Inc.New York, New York
- Citibank NaNew York, New York
- Citic Securities International LimitedCentral Hong Kong, China
- Credit Suisse Securities (USA) LLCNew York, New York
- Goldman, Sachs & Co.New York, New York
- Hsbc Bank Inc.New York, New York
- J.P. Morgan Securities LLCNew York, New York
- Jefferies & Company, Inc.New York, New York
- JP Morgan ChaseNew York, New York
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNew York, New York
- Morgan Stanley & Co. LLCNew York, New York
- Nordea Bank Norge AsaOslo, Norway
- Piper Jaffray & Co.New York, New York
- State Street Bank & Trust CompanyBoston, Massachusetts
- The Hong Kong And Shanghai Banking CorporationCentral Hong Kong, China
- Thomas Weisel Partners LLCNew York, New York
- UBS Securities LLCNew York, New York
- Wells Fargo Bank NaNew York, New York
Across DFX
shared identifiers only
- W•••••• P••••• E••••• P•••••••• L••• · peshared adv fund id
- W•••••• P••••• E••••• P•••••••• L••• · vcshared adv fund id
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
- 1.0%reportedadviser and related persons