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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SEC-registered adviser
D••••• A•••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 16, 2012 · 42 filings
SEC status approved since Sep 29, 2000
RAUM
$783M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
53%
$414M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$783M
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$783M as of Mar 18, 2026
Mar 16, 2012$845M then
HNW client RAUM$401M as of Mar 18, 2026
Feb 22, 2018$322M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Feb 15, 20130 then
Employees (5.A)15 as of Mar 18, 2026
Feb 15, 201324 then
Private funds4 as of Mar 18, 2026
Mar 16, 20126 then
RAUM +12% over the last fiscal year+7.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $783MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 148derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $4.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 15.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$401M51%
- Pooled investment vehicles$292M37%
- Charitable organizations$68.4M8.7%
- Individuals$13.0M1.7%
- Banks and thrifts$8.1M1.0%
- Individual clients
- 25reported
- HNW clients
- 123reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 161reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.53 fund_share=0.37 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• J••• L••••Chartered Financial Analyst | New York, Ny | Nov 23, 2021 | 34 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••• S•••••• S••••••••• P•••••••• L••• | Hedge Fund | $107M | 61 | Mar 16, 2012 |
| D••••• F•••• F•••• L••• | Hedge Fund | $92.6M | 32 | Mar 16, 2012 |
| D••••• T•••• R••••• B••• F•••• L•••no longer reported | Hedge Fund | $27.1M | 18 | Mar 16, 2012 |
| D••• M••••• F•••• L••• | Hedge Fund | $11.9M | 18 | Mar 16, 2012 |
| D••••• E••••••• M••••• I••••• F•••• L••• | Hedge Fund | $7.3M | 9 | Mar 16, 2012 |
| D••••• E••••••• M••••• D••• F•••• L••• | Hedge Fund | $6.0M | 3 | Feb 15, 2013 |
| D••••• R••••••• F•••• L•••no longer reported | Hedge Fund | $942,975 | 83 | Mar 16, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• E•••••• · Senior Managing Dir.controlsince 04/2000 · owns less than 5%
- G•••••• J•••• R••••••••• · Senior Managing Dir.controlsince 04/2000 · owns less than 5%
- B•••••• A•••••• E•••••• · Membercontrolsince 04/2000 · owns 50% to 75% of B••• T•• P•••••••• L••
- G•••••• J•••• R••••••••• · Membercontrolsince 04/2000 · owns 50% to 75% of B••• T•• P•••••••• L••
- L••••• G••••••• J••• · Managing Directorsince 12/2003 · owns less than 5%
- V••••• D••••• G•••• · Managing Director; Chief Compliance Officersince 04/2000 · owns less than 5%
- W••••• J••••• T•••• · Managing Directorsince 04/2000 · owns less than 5%
Entity owners
- B••• T•• P•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- D••••• P•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 157 to 161Mar 31, 2025 to Feb 20, 2026
- HNW clients · 115 to 123Mar 31, 2025 to Feb 20, 2026
- Pooled vehicle clients · 11 to 7Mar 31, 2025 to Feb 20, 2026
- Private funds · 5 to 4Mar 31, 2025 to Feb 20, 2026
- Discretionary RAUM · $697M to $783MMar 31, 2025 to Feb 20, 2026
- HNW RAUM · $350M to $401MMar 31, 2025 to Feb 20, 2026
- Individual RAUM · $13.3M to $13.0MMar 31, 2025 to Feb 20, 2026
- Pooled vehicle RAUM · $272M to $292MMar 31, 2025 to Feb 20, 2026
- RAUM · $697M to $783MMar 31, 2025 to Feb 20, 2026
- Financial planning clients · unset to Feb 21, 2025 to Mar 31, 2025
- Accounts · 164 to 157Mar 28, 2024 to Feb 21, 2025
- Charity clients · 6 to 5Mar 28, 2024 to Feb 21, 2025
- HNW clients · 118 to 115Mar 28, 2024 to Feb 21, 2025
- Individual clients · 28 to 25Mar 28, 2024 to Feb 21, 2025
- Discretionary RAUM · $670M to $697MMar 28, 2024 to Feb 21, 2025
- HNW RAUM · $295M to $350MMar 28, 2024 to Feb 21, 2025
- Individual RAUM · $11.3M to $13.3MMar 28, 2024 to Feb 21, 2025
- Pooled vehicle RAUM · $260M to $272MMar 28, 2024 to Feb 21, 2025
- RAUM · $670M to $697MMar 28, 2024 to Feb 21, 2025
- Accounts · 165 to 164Jan 12, 2024 to Feb 19, 2024
- HNW clients · 120 to 118Jan 12, 2024 to Feb 19, 2024
- Individual clients · 27 to 28Jan 12, 2024 to Feb 19, 2024
- Discretionary RAUM · $624M to $670MJan 12, 2024 to Feb 19, 2024
- HNW RAUM · $274M to $295MJan 12, 2024 to Feb 19, 2024
- Individual RAUM · $9.7M to $11.3MJan 12, 2024 to Feb 19, 2024
- Pooled vehicle RAUM · $246M to $260MJan 12, 2024 to Feb 19, 2024
- RAUM · $624M to $670MJan 12, 2024 to Feb 19, 2024
- Accounts · 180 to 165Mar 31, 2022 to Feb 14, 2023
- HNW clients · 133 to 120Mar 31, 2022 to Feb 14, 2023
- Individual clients · 28 to 27Mar 31, 2022 to Feb 14, 2023
- Pooled vehicle clients · 12 to 11Mar 31, 2022 to Feb 14, 2023
- Employees · 17 to 15Mar 31, 2022 to Feb 14, 2023
- Discretionary RAUM · $874M to $624MMar 31, 2022 to Feb 14, 2023
- HNW RAUM · $394M to $274MMar 31, 2022 to Feb 14, 2023
- Individual RAUM · $13.6M to $9.7MMar 31, 2022 to Feb 14, 2023
- Non-discretionary RAUM · $4.2M to $0Mar 31, 2022 to Feb 14, 2023
- Pooled vehicle RAUM · $362M to $246MMar 31, 2022 to Feb 14, 2023
- RAUM · $879M to $624MMar 31, 2022 to Feb 14, 2023
- Accounts · 222 to 180Dec 2, 2021 to Feb 17, 2022
- Charity clients · 8 to 6Dec 2, 2021 to Feb 17, 2022
Signals
1 dated events
- D••••• A•••• M••••••••• L•• reported RAUM $624.1M, down 29% from $878.7M (2022-03-31 to 2023-02-14)Feb 14, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@d••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-546-6200reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/deltec-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- D•••••-NY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-546-6200reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- d••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- d••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $783Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026