DFX Intelligence

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D••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $774M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2019-06-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $774M
RAUM change, 1 year: -55%
Private clients: 2.2%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2019-06-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 21 Jun 2019, RAUM $1.7B to $774M (-54.5%) on the Form ADV filed 21 Jun 2019, while offices fell 2 to 1.

Every filed figure, and the identifiersCRD 106101 · SEC 801-49354 · 29 filingsShow

CRD 106101SEC 801-49354First filing on the tape Apr 2, 2012, latest Jun 21, 2019IAPD

RAUM

$774M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

2.2%

$17.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM -24% a year over three years · the tape starts Apr 2, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$774M as of Mar 28, 2019

Apr 2, 2012$1.7B then

HNW client RAUM$17.4M as of Mar 28, 2019

Mar 28, 2018$1.6M then

State-registered IARs (5.B.3)0 as of Mar 28, 2019

Apr 2, 20120 then

Employees (5.A)9 as of Mar 28, 2019

Apr 1, 201321 then

Private funds2 as of Mar 28, 2018

Apr 2, 20122 then

RAUM -55% over the last fiscal year-24% a year over threeIARs 0 to 0offices 2 to 1

Practice profile

derived from the filing of Jun 21, 2019; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $1.2MderivedHNW RAUM over HNW clients
Average account: $33.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -55%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 institutionsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

84% state and municipal entities, 14% charitable organizations, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

State and municipal entities$647M84%
Charitable organizations$109M14%
High-net-worth individuals$17.4M2.2%

Individual clients: n/areported
HNW clients: 15reported
Pension plan clients: n/areported
Charitable clients: 6reported
Accounts: 23reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
D••••• B•••• F•••• L•	Hedge Fund	$102M	12	Apr 2, 2012
D••••• G••••• F•••• L•	Hedge Fund	$94.2M	24	Apr 2, 2012
D••••• H••••• I••••••••• L•••no longer reported	Hedge Fund	$39.7M	41	Apr 1, 2013

Owners and control persons

Schedule A and B, latest filing

F•••••••• G••••• A•••••• · Chief Financial Officer And Chief Compliance Officercontrol
since 06/2019 · owns less than 5%
F••••••• J••••••• M•••••• · Managing Membercontrol
since 12/2017 · owns 5% to 10%
G•••••• M•••••• O•••••• · Founder, Chief Executive Officer And Senior Managing Membercontrol
since 04/1995 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 4 to 1
Mar 28, 2019 to Jun 21, 2019
Employees · 9 to 3
Mar 28, 2019 to Jun 21, 2019
Accounts · 15 to 23
Feb 13, 2019 to Mar 28, 2019
Advisory employees · 5 to 4
Feb 13, 2019 to Mar 28, 2019
HNW clients · unset to 15.0
Feb 13, 2019 to Mar 28, 2019

Full history · 76 changes

Pooled vehicle clients · 2.0 to unset
Feb 13, 2019 to Mar 28, 2019
Assets in custody · 0.0 to unset
Feb 13, 2019 to Mar 28, 2019
Custody of client assets · true to false
Feb 13, 2019 to Mar 28, 2019
Employees · 11 to 9
Feb 13, 2019 to Mar 28, 2019
Discretionary RAUM · $1.7B to $774M
Feb 13, 2019 to Mar 28, 2019
HNW RAUM · $1.6M to $17.4M
Feb 13, 2019 to Mar 28, 2019
Pension RAUM · 563674355.0 to unset
Feb 13, 2019 to Mar 28, 2019
Pooled vehicle RAUM · 196162720.0 to unset
Feb 13, 2019 to Mar 28, 2019
RAUM · $1.7B to $774M
Feb 13, 2019 to Mar 28, 2019
Employees · 10 to 11
Dec 27, 2018 to Feb 13, 2019
HQ city · unset to NEW YORK
Dec 27, 2018 to Feb 13, 2019
HQ state · unset to NY
Dec 27, 2018 to Feb 13, 2019
Advisory activities · 3 to 2
Nov 8, 2018 to Dec 27, 2018
Private funds · 2 to unset
Nov 8, 2018 to Dec 27, 2018
Employees · 11 to 10
Jul 12, 2018 to Nov 8, 2018
Advisory employees · 6 to 5
Mar 28, 2018 to Jul 12, 2018
Employees · 12 to 11
Mar 28, 2018 to Jul 12, 2018
Other offices · 2 to 1
Mar 28, 2018 to Jul 12, 2018
Accounts · 17 to 15
Jan 11, 2018 to Mar 28, 2018
Charity clients · unset to 6.0
Jan 11, 2018 to Mar 28, 2018
Pooled vehicle clients · unset to 2.0
Jan 11, 2018 to Mar 28, 2018
Discretionary RAUM · $1.8B to $1.7B
Jan 11, 2018 to Mar 28, 2018
HNW RAUM · unset to 1588614.0
Jan 11, 2018 to Mar 28, 2018
Pension RAUM · unset to 563674355.0
Jan 11, 2018 to Mar 28, 2018
Pooled vehicle RAUM · unset to 196162720.0
Jan 11, 2018 to Mar 28, 2018
RAUM · $1.8B to $1.7B
Jan 11, 2018 to Mar 28, 2018
Financial planning clients · 0 to unset
Jul 26, 2017 to Jan 11, 2018
Other offices · unset to 2.0
Jul 26, 2017 to Jan 11, 2018
Employees · 14 to 12
Jul 11, 2017 to Jul 26, 2017
HQ city · NEW YORK to unset
Jul 11, 2017 to Jul 26, 2017
HQ state · NY to unset
Jul 11, 2017 to Jul 26, 2017
Accounts · 22 to 17
Feb 15, 2017 to Mar 30, 2017
Employees · 13 to 14
Feb 15, 2017 to Mar 30, 2017
Discretionary RAUM · $1.8B to $1.8B
Feb 15, 2017 to Mar 30, 2017
RAUM · $1.8B to $1.8B
Feb 15, 2017 to Mar 30, 2017
Advisory employees · 8 to 6
Mar 29, 2016 to Feb 15, 2017
Employees · 19 to 13
Mar 29, 2016 to Feb 15, 2017
Accounts · 29 to 22
Oct 9, 2015 to Mar 29, 2016
Advisory employees · 10 to 8
Oct 9, 2015 to Mar 29, 2016
Assets in custody · unset to 0.0
Oct 9, 2015 to Mar 29, 2016
Custody of client assets · false to true
Oct 9, 2015 to Mar 29, 2016
Employees · 20 to 19
Oct 9, 2015 to Mar 29, 2016
Discretionary RAUM · $2.4B to $1.8B
Oct 9, 2015 to Mar 29, 2016
RAUM · $2.4B to $1.8B
Oct 9, 2015 to Mar 29, 2016
Accounts · 33 to 29
Jan 20, 2015 to Mar 27, 2015
Advisory employees · 7 to 10
Jan 20, 2015 to Mar 27, 2015
Discretionary RAUM · $2.3B to $2.4B
Jan 20, 2015 to Mar 27, 2015
RAUM · $2.3B to $2.4B
Jan 20, 2015 to Mar 27, 2015
Related adviser · true to false
Jan 20, 2015 to Mar 27, 2015
Accounts · 42 to 33
Sep 9, 2014 to Oct 14, 2014
Advisory employees · 9 to 7
Sep 9, 2014 to Oct 14, 2014
Employees · 23 to 20
Sep 9, 2014 to Oct 14, 2014
Private funds · 3 to 2
Sep 9, 2014 to Oct 14, 2014
Discretionary RAUM · $2.6B to $2.3B
Sep 9, 2014 to Oct 14, 2014
RAUM · $2.6B to $2.3B
Sep 9, 2014 to Oct 14, 2014
Employees · 21 to 23
Apr 1, 2013 to Mar 28, 2014
Discretionary RAUM · $1.8B to $2.6B
Apr 1, 2013 to Mar 28, 2014
RAUM · $1.8B to $2.6B
Apr 1, 2013 to Mar 28, 2014
Accounts · 50 to 42
Sep 28, 2012 to Apr 1, 2013
Advisory employees · unset to 9.0
Sep 28, 2012 to Apr 1, 2013
Employees · unset to 21.0
Sep 28, 2012 to Apr 1, 2013
Private funds · 2 to 3
Sep 28, 2012 to Apr 1, 2013
Discretionary RAUM · $1.7B to $1.8B
Sep 28, 2012 to Apr 1, 2013
RAUM · $1.7B to $1.8B
Sep 28, 2012 to Apr 1, 2013
Related adviser · false to true
Sep 28, 2012 to Apr 1, 2013
Business name · D••••• A•••• M••••••••• I••• to D••••• C•••••• M••••••••• L••
Apr 30, 2012 to Sep 28, 2012
Legal name · D••••• A•••• M••••••••• I••• to D••••• C•••••• M••••••••• L••
Apr 30, 2012 to Sep 28, 2012
Succession · true to false
Apr 30, 2012 to Sep 28, 2012
Organization form · Corporation to Limited Liability Company
Apr 18, 2012 to Apr 30, 2012
Related adviser · true to false
Apr 18, 2012 to Apr 30, 2012
Succession · false to true
Apr 18, 2012 to Apr 30, 2012

Signals

7 dated events

••• Locked
Jun 21, 2019 · Control person left · inference
••• Locked
Jun 21, 2019 · Control person left · inference
••• Locked
Jun 21, 2019 · Control person left · inference
••• Locked
Jun 21, 2019 · Control person left · inference
••• Locked
Mar 28, 2019 · RAUM change · derived

Full timeline · 7 events

••• Locked
Feb 13, 2019 · Control person joined · fact
••• Locked
Apr 30, 2012 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026