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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

D••• P••••••• ••• L••

CRD 284503

NEW YORK, NY

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Search this name across graphsid dfx:ria:8567a849-3afe-d081-ddd4-218064520374

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 10
On other graphs: 0
Observed: Nov 10, 2016 to Mar 30, 2021
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.8BItem 5.F on the latest filing (2021-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.8B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••	CORPORATE OWNERS	C	yes	12/2017	Mar 19, 2020	Mar 30, 2021
D••••• J••••• E••••••	L•••••• PARTNER	C	yes	09/2011	Nov 10, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••• P••••••• ••••••• L••	n/a	Former SEC adviser	$4.0M	N	yes	n/a
D••• C••••• G• L••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$1.8B	$1.6B	15.9%	$2.8B	-13.7%	7	6	0	0

Relationships

Affiliated with (1)

→ D••• P••••••• ••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (6)

← D••••• J••••• E••••••OwnerSHAREHOLDER, ownership code C, individual
Nov 10, 2016 to presentfactForm ADV
← S•••••• G••• N••OwnerSHAREHOLDER, ownership code E, individual
Nov 10, 2016 to presentfactForm ADV
← S••••• S••••••• A••••••OwnerCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND MONEY LAUNDERING OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 19, 2020
Regulatory AUM changed
D••• P••••••• ••• L•• reported RAUM $1.6B, up 1392% from $104.0M (2019-12-16 to 2020-03-19)
Form ADVobserved 6 days ago
$1.4B
Occurred
Mar 19, 2020
Control person left
B Zachary Berger (Portfolio Manager) no longer on Schedule A of D••• P••••••• ••• L•• (listed 2019-12-16, absent 2020-03-19)
Form ADVobserved 6 days ago
Occurred
Dec 16, 2019
Control person joined
Anthony Stephen Sales (Chief Compliance Officer, Chief Financial Officer And Chief Operating Officer) appeared on Schedule A of D••• P••••••• ••• L••
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8567a849-3afe-d081-ddd4-218064520374
First observed: Nov 10, 2016
Last observed: Mar 30, 2021 66 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.