DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

D•• S•••••••• L•

CRD 174379

MINNETONKA, MN

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Search this name across graphsid dfx:ria:86c9d637-0fe4-6d0c-cdfc-726b9b70866e

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 1
Observed: Jul 3, 2015 to Mar 12, 2026
18 observations

Across DFX

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

Independent Sponsorsidentity

D•• S•••••••• L•

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=0.0 fund_share=0.82 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $944M••• Locked
Discretionary RAUM: $722M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D•• E••••••• U••• E••••• F••• L••	Other Private Fund	$548M	Mar 12, 2026	20	Jul 3, 2015	reported	021-239760
D•• F••••••• F••• L••	Other Private Fund	$33.3M	Mar 29, 2019

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• L••••• M•••••	CHIEF OPERATING OFFICER, G•••••• COUNSEL & CHIEF COMPLIANCE OFFICER	Na	yes	04/2015	Jul 3, 2015	Mar 12, 2024
D•• G•••••• P•••••• L••	G•••••• PARTNER	Na	yes	01/2024	Jan 17, 2024	Mar 12, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WEST PALM BEACH	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$944M	$839M	12.6%	$871M	2.8%	6	6	1	1

Relationships

Advises (4)

→ D•• E••••••• U••• E••••• F••• L••Private fundOther Private Fund, IA
Jul 3, 2015 to presentfactForm ADV
→ D•• D•••••• F••• L••Private fundHedge Fund, IA, no longer reported
Mar 17, 2021 to Mar 21, 2022factForm ADV
→ D•• M••••••••• F••• L••Private fundHedge Fund, IA, no longer reported
Mar 27, 2017 to Mar 17, 2021factForm ADV
→ D•• F••••••• F••• L••

Dated events

Occurred
Mar 24, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-350M
Occurred
Mar 21, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$365M
Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$569M
Occurred
Jul 3, 2015
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86c9d637-0fe4-6d0c-cdfc-726b9b70866e
First observed: Jul 3, 2015
Last observed: Mar 12, 2026 6 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.