DFX Intelligence
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SEC-registered adviser
D••••• S•••• • C••• I•••
Latest filing Mar 19, 2026
First filing on the tape Mar 23, 2012 · 23 filings
SEC status approved since May 29, 1975
RAUM
$5.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$5.6B as of Mar 19, 2026
Mar 23, 2012$3.7B then
HNW client RAUM$0 as of Mar 19, 2026
Mar 9, 2018$152M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 23, 20120 then
Employees (5.A)11 as of Mar 19, 2026
Mar 25, 20139 then
Private funds3 as of Mar 19, 2026
Mar 25, 20133 then
RAUM +31% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $170MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $440M, 4 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.8B33%
- State and municipal entities$1.5B26%
- Investment companies$1.3B22%
- Charitable organizations$395M7.1%
- Corporations and businesses$349M6.2%
- Insurance companies$198M3.5%
- Pension and profit-sharing plans$96.0M1.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 8reported
- Accounts
- 33reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $333M managedreported
- Custody of client assets
- $440M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.55 institutional_share=0.39 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••• S•••• F•••••• F•••• L••• | Hedge Fund | $152M | 7 | Dec 20, 2012 |
| D••••• S•••• V•••• F•••• L••• | Hedge Fund | $37.0M | 7 | Dec 20, 2012 |
| D••• V•••• F•••• L••• | Hedge Fund | $30.2M | 7 | Dec 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• R••••••• L••••••• · Ceo, Co-Cio, Shareholdercontrolsince 01/2004 · owns 10% to 25%
- H••••••• J••• E••••• · Co-Cio, Director Of Research, Shareholdercontrolsince 01/2004 · owns 10% to 25%
- C••••••••• A••• E•••••••• · Chief Compliance Officer, Chief Operating Officersince 01/2013 · owns less than 5%
- P•••• J••• J•••••• · Director Of Client Relations And Business Developmentsince 01/2015 · owns less than 5%
- P•••••••• J•••• D•••• · Research Analyst, Shareholdersince 01/2017 · owns less than 5%
- P•••••• J••••••• E•••• · Analystsince 08/2017 · owns less than 5%
- S•••• K•••• · Macro Analyst, Trader, Shareholdersince 01/2004 · owns less than 5%
- S••••• J•••• · Ownersince 01/2021 · owns 10% to 25%
- W•••••• L•••• · Ownersince 01/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- D••••• S••••• L•••investment adviserbanknRAUM $256M
- D••••• S••••• L••bankpooled vehicle sponsorn
Advisers that list D••••• S•••• • C••• I••• as a related person
- 285701 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 26 to 33Mar 18, 2025 to Mar 19, 2026
- Advisory employees · 5 to 6Mar 18, 2025 to Mar 19, 2026
- Charity clients · 6 to 8Mar 18, 2025 to Mar 19, 2026
- Pooled vehicle clients · 5 to 6Mar 18, 2025 to Mar 19, 2026
- Assets in custody · $340M to $440MMar 18, 2025 to Mar 19, 2026
- Employees · 10 to 11Mar 18, 2025 to Mar 19, 2026
- Discretionary RAUM · $4.3B to $5.6BMar 18, 2025 to Mar 19, 2026
- Pension RAUM · $82.9M to $96.0MMar 18, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $1.2B to $1.8BMar 18, 2025 to Mar 19, 2026
- RAUM · $4.3B to $5.6BMar 18, 2025 to Mar 19, 2026
- Wrap assets (manager) · $241M to $333MMar 18, 2025 to Mar 19, 2026
- Accounts · 25 to 26Mar 19, 2024 to Mar 18, 2025
- Pooled vehicle clients · 4 to 5Mar 19, 2024 to Mar 18, 2025
- Assets in custody · $300M to $340MMar 19, 2024 to Mar 18, 2025
- Employees · 9 to 10Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $4.0B to $4.3BMar 19, 2024 to Mar 18, 2025
- Pension RAUM · $87.2M to $82.9MMar 19, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $565M to $1.2BMar 19, 2024 to Mar 18, 2025
- RAUM · $4.0B to $4.3BMar 19, 2024 to Mar 18, 2025
- Wrap assets (manager) · $204M to $241MMar 19, 2024 to Mar 18, 2025
- Accounts · 23 to 25Mar 22, 2023 to Mar 19, 2024
- Corporate clients · 1 to 2Mar 22, 2023 to Mar 19, 2024
- Pension plan clients · 2 to 1Mar 22, 2023 to Mar 19, 2024
- Pooled vehicle clients · 2 to 4Mar 22, 2023 to Mar 19, 2024
- Assets in custody · $194M to $300MMar 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $2.6B to $4.0BMar 22, 2023 to Mar 19, 2024
- Pension RAUM · $57.5M to $87.2MMar 22, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $35.4M to $565MMar 22, 2023 to Mar 19, 2024
- RAUM · $2.6B to $4.0BMar 22, 2023 to Mar 19, 2024
- Wrap assets (manager) · $151M to $204MMar 22, 2023 to Mar 19, 2024
- Accounts · 24 to 23Mar 10, 2022 to Mar 22, 2023
- Assets in custody · $312M to $194MMar 10, 2022 to Mar 22, 2023
- Discretionary RAUM · $2.9B to $2.6BMar 10, 2022 to Mar 22, 2023
- Pension RAUM · $80.7M to $57.5MMar 10, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $30.3M to $35.4MMar 10, 2022 to Mar 22, 2023
- RAUM · $2.9B to $2.6BMar 10, 2022 to Mar 22, 2023
- Wrap assets (manager) · $155M to $151MMar 10, 2022 to Mar 22, 2023
- Accounts · 26 to 24Apr 29, 2021 to Mar 10, 2022
- Charity clients · 7 to 6Apr 29, 2021 to Mar 10, 2022
Signals
11 dated events
- ••• LockedMar 19, 2026 · RAUM change · derived
- ••• LockedMar 19, 2024 · RAUM change · derived
- ••• LockedMar 29, 2021 · Control person left · inference
- ••• LockedOct 16, 2020 · RAUM change · derived
- ••• LockedNov 14, 2019 · Control person left · inference
- ••• LockedNov 14, 2019 · Control person left · inference
- ••• LockedApr 16, 2019 · Control person joined · fact
- ••• LockedApr 16, 2019 · Control person joined · fact
- ••• LockedApr 16, 2019 · Control person joined · fact
- ••• LockedApr 16, 2019 · Control person joined · fact
- ••• LockedMar 22, 2019 · 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
- Website
- D•••••S••••ANDCO.COMreportedpublic record, Form ADV, Mar 19, 2026
- Principal office phone
- 212-284-0990reportedpublic record, Form ADV, Mar 19, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026