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••••••• C•••••• M••••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Nov 16, 2011 · 62 filings
SEC status approved since Mar 11, 1983
RAUM
$26B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$2.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
82
27 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$26B as of Aug 12, 2026
Mar 30, 2012$7.0B then
HNW client RAUM$2.9M as of Aug 12, 2026
Mar 31, 2018$49.7M then
State-registered IARs (5.B.3)0 as of Aug 12, 2026
Apr 1, 20130 then
Employees (5.A)82 as of Aug 12, 2026
Apr 1, 201392 then
Private funds5 as of Aug 12, 2026
Mar 30, 201216 then
RAUM +32% over the last fiscal year+27% a year over threeIARs 0 to 0offices 0 to 3
Practice profile
derived from the filing of Sep 14, 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
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $290MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -50%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $1.2B, 5 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)
- 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
- Investment companies$10B39%
- Pooled investment vehicles$8.0B31%
- State and municipal entities$5.1B20%
- Pension and profit-sharing plans$1.3B4.9%
- Corporations and businesses$1.2B4.5%
- Charitable organizations$281M1.1%
- Insurance companies$12.0M0.0%
- High-net-worth individuals$2.9M0.0%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 11reported
- Charitable clients
- 7reported
- Accounts
- 90reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.7 institutional_share=0.26 related_bd=false related_bank=false bd_reps=15.0derived
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
34 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• I••••• F••• I• L••no longer reported | Hedge Fund | $1.2B | 23 | Apr 1, 2013 |
| D••••••• E••••••• M•••••• F•••• L••• | Other Private Fund | $310M | 5 | Mar 31, 2021 |
| D••••••• L••• S••••••• M••••• F•••• L••• | Hedge Fund | $227M | 74 | Mar 31, 2021 |
| D••••••• I••••••••• G••••• F•••• L••no longer reported | Hedge Fund | $170M | 24 | Mar 31, 2014 |
| D••••••• C••••••••• G••••• L••no longer reported | Hedge Fund | $133M | 22 | Mar 31, 2019 |
| D••••••• U•••• S••••• F•••• L•••no longer reported | Other Private Fund | $124M | 25 | Mar 30, 2012 |
| D••••••• I••••••••• L••no longer reported | Other Private Fund | $118M | 3 | Apr 1, 2013 |
| D••••••• I••••••••• S••••• F•••• L•••no longer reported | Other Private Fund | $77.0M | 24 | Mar 30, 2012 |
| D••••••• L••• S••••••• ••• F•••• L••• | Hedge Fund | $75.6M | 5 | Mar 31, 2023 |
| D••••••• F••••• P••••••••• L•••no longer reported | Other Private Fund | $65.3M | 5 | Apr 1, 2013 |
| D••••••• L••• S••••••• F•••• L•••no longer reported | Hedge Fund | $62.0M | 33 | Mar 24, 2020 |
| D••••••• T•••••• L••no longer reported | Other Private Fund | $59.2M | 4 | Mar 30, 2012 |
| D••••••• M•••• C•• F•••• L•••no longer reported | Other Private Fund | $34.4M | 58 | Mar 30, 2012 |
| D••••••• T••••••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $28.7M | 27 | Mar 31, 2017 |
| D••••••• G••••• P••••••• L••no longer reported | Other Private Fund | $28.2M | 2 | Apr 1, 2013 |
| D••••••• C••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $27.9M | 21 | Mar 30, 2012 |
| D••••••• C••••••••• L•••• C•• P••••••• L••no longer reported | Other Private Fund | $26.3M | 19 | Mar 30, 2012 |
| D••••••• D••••••• H••• Y•••• F•••• L••no longer reported | Hedge Fund | $24.7M | 16 | Mar 31, 2014 |
| D••••••• L••••••••• E••••••• F•••• L••no longer reported | Hedge Fund | $22.7M | 17 | Mar 31, 2014 |
| D••••••• P••••••• M••••• L••no longer reported | Other Private Fund | $21.4M | 19 | Mar 31, 2021 |
| D••••••• E••••••• M•••••• D••••••• G••••• F•••• L•••no longer reported | Hedge Fund | $21.1M | 25 | Mar 31, 2015 |
| D••••••• I••••••••• S•••• C••• L•••no longer reported | Other Private Fund | $21.1M | 26 | Mar 30, 2012 |
| D••••••• D••••••• L••no longer reported | Other Private Fund | $19.8M | 19 | Mar 30, 2012 |
| D••••••• F•••••• G••••• E••••• F••• L•••no longer reported | Hedge Fund | $15.7M | 19 | Mar 30, 2016 |
| D••••••• I••••••••• M•••• C•• F•••• L•••no longer reported | Other Private Fund | $14.0M | 19 | Mar 30, 2012 |
| D••••••• E••••••• M•••••• G••••• F•••• L•••no longer reported | Other Private Fund | $12.5M | 25 | Mar 31, 2017 |
| D••••••• I••••••••• S•••••••• R••••• F•••• L••no longer reported | Other Private Fund | $11.7M | 18 | Mar 30, 2012 |
| D••••••• S•••• C•• R••••••• F•••• L•••no longer reported | Other Private Fund | $8.6M | 10 | Mar 30, 2012 |
| D••••••• A••••••••• F••• | Hedge Fund | $7.8M | 18 | Mar 30, 2012 |
| D••••••• I••••••••• S•••• C•• R••••••• F•••• L•••no longer reported | Other Private Fund | $5.7M | 9 | Mar 30, 2012 |
| D••••••• E•••• P••••••• L••no longer reported | Other Private Fund | $4.4M | 16 | Mar 30, 2012 |
| D••••••• S•••• C•• I••••••••• L•••no longer reported | Other Private Fund | $2.9M | 15 | Mar 30, 2012 |
| D••••••• I••••••••• R••••• F•••• L•••no longer reported | Other Private Fund | $2.7M | 25 | Mar 30, 2012 |
| D••••••• A•••••••• L••••••••• F•••• L•••no longer reported | Hedge Fund | $1.2M | 23 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- K•••••••• A•••• S••••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- K•••••••• R•••••• M•••••• · Chief Financial Officer, Chief Operating Officer And Treasurercontrolsince 01/2019 · owns less than 5%
- M••••••••• J••••• L••• · General Counsel And Secretarycontrolsince 03/2012 · owns less than 5%
- S••••••••• T•••••• M••••• · Head Of Global Distributioncontrolsince 01/2011 · owns less than 5%
- W••••• S••••••• T••••• · President And Ceocontrolsince 02/2020 · owns less than 5%
Entity owners
- D••••••• C•••••• H••••••• L••• · Memberdirect · owns 75% or more
- D••••••• T•••• C••••••• L•• · Trusteeindirect · owns F of D•• O•••••••• T••••
- D••••••• T•••• C••••••• L•• · Trusteeindirect · owns F of R•••••• H• D••••••• F••••• B•••••• T••••
- D••••••• T•••• C••••••• L•• · Trusteeindirect · owns F of T•• R•••••• H• D••••••• 2••• R•••••••• T••••
- D•• O•••••••• T•••• · Memberindirect · owns 75% or more of D••••••• T•••• C••••••• L••
- R•• H••••••• L•• · General Partnerindirect · owns F of D••••••• C•••••• H••••••• L•••
- R•••••• H• D••••••• F••••• B•••••• T•••• · Limited Partnerindirect · owns 25% to 50% of D••••••• C•••••• H••••••• L•••
- T•• R•••••• H• D••••••• 2••• R•••••••• T•••• · Limited Partnerindirect · owns 50% to 75% of D••••••• C•••••• H••••••• L•••
Related persons
Schedule D 7.A
- D••••••• C•••••• M••••••••• ••••• L••pooled vehicle sponsorn
- D••••••• T•••• C••••••• L••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 12, 2026 to Sep 14, 2026
- Private funds · 5 to unsetAug 12, 2026 to Sep 14, 2026
- Succession · false to unsetAug 12, 2026 to Sep 14, 2026
- Other offices · 0 to 3May 8, 2026 to Aug 12, 2026
- Assets in custody · $1.2B to $1.2BMar 31, 2026 to May 8, 2026
- Accounts · 84 to 90Jul 1, 2025 to Mar 31, 2026
- Advisory employees · 28 to 27Jul 1, 2025 to Mar 31, 2026
- BD registered reps · 16 to 15Jul 1, 2025 to Mar 31, 2026
- Charity clients · 4 to 7Jul 1, 2025 to Mar 31, 2026
- HNW clients · 2 to 1Jul 1, 2025 to Mar 31, 2026
- Pooled vehicle clients · 20 to 23Jul 1, 2025 to Mar 31, 2026
- Assets in custody · $662M to $1.2BJul 1, 2025 to Mar 31, 2026
- Employees · 81 to 82Jul 1, 2025 to Mar 31, 2026
- Private funds · 4 to 5Jul 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $20B to $26BJul 1, 2025 to Mar 31, 2026
- HNW RAUM · $3.7M to $2.9MJul 1, 2025 to Mar 31, 2026
- Pension RAUM · $1.0B to $1.3BJul 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.5B to $8.0BJul 1, 2025 to Mar 31, 2026
- RAUM · $20B to $26BJul 1, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jul 1, 2025
- Accounts · 82 to 84May 6, 2024 to Mar 31, 2025
- Advisory employees · 27 to 28May 6, 2024 to Mar 31, 2025
- BD registered reps · 15 to 16May 6, 2024 to Mar 31, 2025
- Pension plan clients · 10 to 11May 6, 2024 to Mar 31, 2025
- Pooled vehicle clients · 22 to 20May 6, 2024 to Mar 31, 2025
- Assets in custody · $537M to $662MMay 6, 2024 to Mar 31, 2025
- Employees · 80 to 81May 6, 2024 to Mar 31, 2025
- Discretionary RAUM · $15B to $20BMay 6, 2024 to Mar 31, 2025
- HNW RAUM · $3.4M to $3.7MMay 6, 2024 to Mar 31, 2025
- Pension RAUM · $754M to $1.0BMay 6, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.9B to $5.5BMay 6, 2024 to Mar 31, 2025
- RAUM · $15B to $20BMay 6, 2024 to Mar 31, 2025
- Accounts · 81 to 82May 1, 2023 to Mar 29, 2024
- Advisory employees · 26 to 27May 1, 2023 to Mar 29, 2024
- Charity clients · 5 to 4May 1, 2023 to Mar 29, 2024
- Pooled vehicle clients · 21 to 22May 1, 2023 to Mar 29, 2024
- Assets in custody · $440M to $537MMay 1, 2023 to Mar 29, 2024
- Employees · 78 to 80May 1, 2023 to Mar 29, 2024
- Discretionary RAUM · $13B to $15BMay 1, 2023 to Mar 29, 2024
- HNW RAUM · $3.5M to $3.4MMay 1, 2023 to Mar 29, 2024
Signals
12 dated events
- D••••••• C•••••• M••••••••• L•• reported RAUM $26.1B, up 32% from $19.8B (2025-07-01 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D••••••• C•••••• M••••••••• L•• reported RAUM $19.8B, up 30% from $15.2B (2024-05-06 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- D••••••• C•••••• M••••••••• L•• reported RAUM $12.5B, up 40% from $8.9B (2020-12-17 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- H••••• R•••••• D••••••• (Chairman) no longer on Schedule A of D••••••• C•••••• M••••••••• L•• (listed 2020-12-17, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- D••••••• C•••••• M••••••••• L•• reported RAUM $8.9B, up 37% from $6.5B (2020-01-30 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- J••••• S•••••• K•••••• (President And Chief Executive Officer) no longer on Schedule A of D••••••• C•••••• M••••••••• L•• (listed 2020-01-30, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- S••••• A••• K••••••• (Chief Compliance Officer) appeared on Schedule A of D••••••• C•••••• M••••••••• L••Jul 31, 2019 · Control person joined · fact
- M••••• D••••• Rea (Director Of Corporate Development And Investments) no longer on Schedule A of D••••••• C•••••• M••••••••• L•• (listed 2019-05-30, absent 2019-07-31)Jul 31, 2019 · Control person left · inference
- R••••• M•••••• S•••••••• (Assistant Vice President And Chief Compliance Officer) no longer on Schedule A of D••••••• C•••••• M••••••••• L•• (listed 2019-03-31, absent 2019-05-30)May 30, 2019 · Control person left · inference
- D••••••• C•••••• M••••••••• L•• reported RAUM $6.5B, down 26% from $8.8B (2019-02-04 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
- M•••••• R••••• K••••••• (Chief Financial Officer And Treasurer) appeared on Schedule A of D••••••• C•••••• M••••••••• L••Feb 4, 2019 · Control person joined · fact
- L••• M••••••• C••••• (Chief Financial Officer And Treasurer) no longer on Schedule A of D••••••• C•••••• M••••••••• L•• (listed 2018-07-24, absent 2019-02-04)Feb 4, 2019 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/25264reportedpublic record, Form ADV, Sep 18, 2026
- Website
- D•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-587-3800reportedpublic record, Form ADV, Sep 14, 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
- Asset manager (funds and pooled vehicles)deriveda 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