DFJ DRAGON

Exempt Reporting AdvisorFINRA MemberEst. 2012
Total AUM
Accounts
0
Advisory reps
3
Brokerage reps
0
Avg account
$0

Firm details

Headquarters
SAN MATEO, California
CRD number
162467
Registered since
March 28, 2012

Firm profile

FINTRX

Overview

DFJ Dragon operates primarily as an adviser, sponsor and general partner to pooled investment vehicles, with its registration dating to 2012. The firm’s activity centers on venture capital investing: it structures and manages pooled funds that acquire private-company equity rather than managing retail advisory accounts or separate account mandates. DFJ Dragon is classified as an unclassified adviser and identifies as a domestic entity and individual ownership structure. It does not present itself as an active ESG investor and does not function as a multi-state retail adviser; its business model is focused on operating pooled vehicles and acting as managing member or GP for those vehicles. Industry affiliations indicate the firm acts as an investment adviser and sponsor, a general partner, and a managing member of pooled investment vehicles, which signals hands-on fund management and sponsor responsibilities (capital raising, deal sourcing, portfolio oversight, and LP reporting).

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Contacts

3 of 3
  • LARRY LI

    Founding PartnerCRD 6046449

  • K. CHAO

    Co-FounderCRD 6047426

  • TIMOTHY DRAPER

    Founder & Managing PartnerCRD 1303568

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

SAN MATEO, CA

SAN MATEO

Location

SAN MATEO, CA

Headquartered in SAN MATEO, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
SAN MATEO
Address
55 E 3rd Ave
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth