DFX Intelligence

D•••• • C••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

D•••• • C••

CRD 104596

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:572941d8-7b03-2a9e-6826-68db79b74200

Data as of Apr 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 10
On other graphs: 1
Observed: Mar 30, 2012 to Apr 17, 2026
28 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

D•••• • C••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.02 fund_share=0.73 institutional_share=0.24 related_bd=false related_bank=false bd_reps=38.0
Regulatory AUM: $467B••• Locked
Discretionary RAUM: $466B
Private client RAUM: $7.7Bderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $467Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• D•••••• J••••••	n/a	SAN FRANCISCO, CA	22	37	n/a	yes

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D•••• • C•• W•••••••• F•••• P•• • G••••• S•••• F•••	Other Private Fund	$5.5B	Mar 28, 2024	435	Mar 30, 2012	reported	n/a
D•••• • C•• W•••••••• F•••• P•• • U••• S•••• F•••	Other Private Fund	$3.6B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• P•••••••	DIRECTOR, SVP, & SHAREHOLDER	Na	yes	05/2022	Jun 17, 2022	Mar 28, 2024
E••••• D•••• M•••••	CHAIR, CEO, DIRECTOR, & SHAREHOLDER	B	yes	01/2001	Mar 30, 2012	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• • C•• ••••••• G•••	n/a	n/a	n/a	Y	no	n/a
D•••• • C•• W•••••••• I••••••••• L•••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$467B	$400B	16.6%	$323B	13.0%	336	326	0	0

Relationships

Advises (5)

→ D•••• • C•• W•••••••• F•••• P•• • U••• S•••• F•••Private fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ D•••• • C•• W•••••••• F•••• P•• • G••••• S•••• F•••Private fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ D•••• • C•• W•••••••• F•••• P•• • E••••••• M•••••• S•••• F•••Private fundOther Private Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ D•••• • C•• W•••••••• F•••• P•• • G••••• B••• F•••

Dated events

Occurred
Mar 28, 2024
Control person left
Sullivan Thomas Dugan (Director, Svp, Director Of Fixed Income, & Shareholder) no longer on Schedule A of D•••• • C•• (listed 2023-03-30, absent 2024-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2023
Control person left
Shames Diana Strandberg (Director, Svp, Director Of International Equity, & Shareholder) no longer on Schedule A of D•••• • C•• (listed 2022-06-29, absent 2023-03-30)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2023
Control person joined
Coerte Steven Voorhis (Svp, Director Of Research & Shareholder) appeared on Schedule A of D•••• • C••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:572941d8-7b03-2a9e-6826-68db79b74200
First observed: Mar 30, 2012
Last observed: Apr 17, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.