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•• R••• E••••• C•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 8, 2011 · 28 filings
SEC status approved since Jan 11, 1996
RAUM
$673M
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
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$673M as of Mar 31, 2026
Mar 30, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Mar 31, 2026
Mar 28, 201329 then
Private funds12 as of Mar 31, 2026
Mar 30, 20125 then
RAUM -21% over the last fiscal year-24% a year over threeIARs 0 to 0offices 3 to 1
Practice profile
derived from the filing of Mar 31, 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
- $56.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -21%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$673M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
26 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• F••• I•• L••• | Real Estate Fund | $413M | 50 | Mar 30, 2012 |
| B••••••• 2• O•••• L•• | Real Estate Fund | $302M | 4 | Mar 31, 2022 |
| R••• F••• I••• L••• | Real Estate Fund | $206M | 73 | Mar 30, 2012 |
| D•• R••• E••••• C•••••• P••••••• I•• L•••no longer reported | Real Estate Fund | $175M | 46 | Mar 30, 2012 |
| 1• M•••••• H•• H•••••••• L•• | Real Estate Fund | $136M | 6 | Mar 31, 2022 |
| R••• F••• V• •••••• L••• | Real Estate Fund | $97.0M | 10 | Mar 29, 2019 |
| 1•• M•••••• I••••••• L•• | Real Estate Fund | $59.3M | 2 | Mar 31, 2017 |
| 5•• W•••••• S••••• H••••••• J• L•• | Real Estate Fund | $37.2M | 4 | Mar 31, 2022 |
| 6••• H•••••••• B••• S•••• I••••••••• L••• | Real Estate Fund | $33.9M | 6 | Mar 31, 2017 |
| R••• F••• V• ••••••• L••• | Real Estate Fund | $28.6M | 22 | Nov 4, 2014 |
| W•••••• P•••• H••••••• J•• L•• | Real Estate Fund | $24.9M | 3 | Mar 31, 2022 |
| R••• F••• V• L••• | Real Estate Fund | $22.5M | 5 | Mar 28, 2014 |
| B•••••• Y•••• L••••• L•• | Real Estate Fund | $21.8M | 4 | Mar 27, 2020 |
| R••• F••• V• •••••• L••• | Real Estate Fund | $13.1M | 17 | Nov 4, 2014 |
| B•••••• Y•••• L••••• I• L•• | Real Estate Fund | $8.4M | 3 | Mar 31, 2022 |
| 1• M•••••• H•• H••••••• L••no longer reported | Real Estate Fund | $7.5M | 3 | Mar 31, 2021 |
| R••• H•••••••• N•••• L•• | Real Estate Fund | $2.9M | 2 | Jun 1, 2020 |
| R••• J••• S••••• C•••••••• L••no longer reported | Real Estate Fund | $104,172 | 2 | Mar 31, 2017 |
| R••• H•••••••• S••••• L•• | Real Estate Fund | $100,000 | 127 | Mar 31, 2017 |
| R••• V• B••••• H••• C••••••••• L••no longer reported | Real Estate Fund | $0 | 2 | Mar 31, 2017 |
| R••• P••••••• G•••• I•• L•• | Real Estate Fund | $0 | 5 | Mar 30, 2016 |
| P••••••• W••••••••• H•••••••• L••no longer reported | Real Estate Fund | $0 | 2 | Mar 27, 2020 |
| 1•• S•••• S••••• O••••• L•• | Real Estate Fund | $0 | 0 | Mar 27, 2020 |
| R••• F••• I•• 2••••• C••••••••• L•••no longer reported | Real Estate Fund | $0 | 0 | Mar 30, 2012 |
| R••• E••••••• F••• I•• L••• | Real Estate Fund | $0 | 3 | Mar 30, 2012 |
| R••• V• 1• T•••••• P•••• C•••••••• L••no longer reported | Real Estate Fund | $0 | 2 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••••• W••• · Vice President & Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
- F••••••• C••••••• D••••• · Director & Vice Presidentcontrolsince 09/2010 · owns less than 5%
- R•••••• A•••••• P••• · Director, Chief Executive Officer & Presidentcontrolsince 09/2010 · owns less than 5%
- S••••• T•••••• J••••• · Vice Presidentcontrolsince 09/2010 · owns less than 5%
- R•••••• A•••••• P••• · Sole Membercontrolsince 05/2010 · owns 75% or more of D•• R••• M•••• L••
- R•••••• A•••••• P••• · L•••••• Partnercontrolsince 05/2010 · owns 75% or more of D•• R••• M••••••••• L•••
Entity owners
- D•• R••• E••••• C•••••• P•••••••• L•• · Shareholder Of D•• R••• E••••• C•••••• P••••••• •••• L•••••• (Relying Adviser)direct · owns 75% or more
- D•• R••• M••••••••• L••• · Memberdirect · owns 75% or more
- D•• R••• M•••• L•• · General Partner Of D•• R••• M••••••••• L••• (Relying Adviser)direct · owns 75% or more
- D•• R••• M•••• L•• · General Partnerindirect · owns F of D•• R••• M••••••••• L•••
Related persons
Schedule D 7.A
- 1•• M•••••• M•••••• L••pooled vehicle sponsorn
- D•• C••••• L••••••••• L••investment advisern
- D•• R••• E••••• C•••••• I•• L••pooled vehicle sponsorn
- D•• R••• E••••• C•••••• I••• L••pooled vehicle sponsorn
- D•• R••• E••••• C•••••• I•• L••pooled vehicle sponsorn
- D•• R••• E••••• C•••••• P••••••• •••• L••••••investment advisern
- D•• R••• E••••• C•••••• P••••••• D••••••••• L••investment advisern
- D•• R••• E••••• C•••••• V• ••••••• L••pooled vehicle sponsorn
- D•• R••• E••••• C•••••• V• L••pooled vehicle sponsorn
- D•• R••• E••••• C•••••• V•• L••pooled vehicle sponsorn
- D•• R••• E••••• E••••••• C•••••• I•• L••pooled vehicle sponsorn
- D•• R••• E••••• M••••••••• L••pooled vehicle sponsorn
- D•• R•• A••••••••• G•• L••investment adviserpooled vehicle sponsorn
- D•• R••• B••••••• L••investment adviserpooled vehicle sponsorn
- D•• R••• M••••••••• L•••pooled vehicle sponsorn
- D•• R••• P• M•••••••• L••investment adviserpooled vehicle sponsorn
- R••• 6••• M••••••••• L••pooled vehicle sponsorn
- R••• C••••• C••• M•• L••pooled vehicle sponsorn
- R••• M•••••• M•• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- Sheung Wan, Hong Kong2 employees
- Somerville, MA2 employees
- Venice, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 15.0 to 8.0 (-47.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (395 comparable advisers, 2.0th percentile of changes)peers: ASSET_M••••••, $500M to $1B (395) · 1.5% percentile
- office count dropChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (40 comparable advisers, 0.0th percentile of changes)peers: ASSET_M••••••, $500M to $1B (40) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 12May 2, 2025 to Mar 31, 2026
- Pooled vehicle clients · 16 to 12May 2, 2025 to Mar 31, 2026
- Employees · 15 to 8May 2, 2025 to Mar 31, 2026
- Other offices · 3 to 1May 2, 2025 to Mar 31, 2026
- Private funds · 16 to 12May 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $853M to $673MMay 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $853M to $673MMay 2, 2025 to Mar 31, 2026
- RAUM · $853M to $673MMay 2, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 2, 2025
- Accounts · 19 to 16May 16, 2024 to Mar 28, 2025
- Pooled vehicle clients · 19 to 16May 16, 2024 to Mar 28, 2025
- Private funds · 19 to 16May 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $853MMay 16, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.4B to $853MMay 16, 2024 to Mar 28, 2025
- RAUM · $1.4B to $853MMay 16, 2024 to Mar 28, 2025
- Advisory employees · 10 to 8Jul 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.6B to $1.4BJul 7, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.6B to $1.4BJul 7, 2023 to Mar 29, 2024
- RAUM · $1.6B to $1.4BJul 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.5B to $1.6BMar 31, 2023 to Jul 7, 2023
- Pooled vehicle RAUM · $1.5B to $1.6BMar 31, 2023 to Jul 7, 2023
- RAUM · $1.5B to $1.6BMar 31, 2023 to Jul 7, 2023
- Accounts · 20 to 19Jun 6, 2022 to Mar 31, 2023
- Pooled vehicle clients · 20 to 19Jun 6, 2022 to Mar 31, 2023
- Private funds · 20 to 19Jun 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.0B to $1.5BJun 6, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.0B to $1.5BJun 6, 2022 to Mar 31, 2023
- RAUM · $2.0B to $1.5BJun 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.0B to $2.0BMar 31, 2022 to Jun 6, 2022
- Pooled vehicle RAUM · $2.0B to $2.0BMar 31, 2022 to Jun 6, 2022
- RAUM · $2.0B to $2.0BMar 31, 2022 to Jun 6, 2022
- Accounts · 17 to 20Jun 25, 2021 to Mar 31, 2022
- Advisory employees · 9 to 10Jun 25, 2021 to Mar 31, 2022
- Pooled vehicle clients · 17 to 20Jun 25, 2021 to Mar 31, 2022
- Employees · 16 to 15Jun 25, 2021 to Mar 31, 2022
- Private funds · 17 to 20Jun 25, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.9B to $2.0BJun 25, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.9B to $2.0BJun 25, 2021 to Mar 31, 2022
- RAUM · $1.9B to $2.0BJun 25, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.9B to $1.9BMar 31, 2021 to Jun 25, 2021
Signals
2 dated events
- D•• R••• E••••• C•••••• P•••••••• L•• reported RAUM $853.0M, down 39% from $1.4B (2024-05-16 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Christopher William Helm (Director & Vice President) no longer on Schedule A of D•• R••• E••••• C•••••• P•••••••• L•• (listed 2018-08-21, absent 2019-03-29)Mar 29, 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
- Website
- DLJR•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-901-4928reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
D•• R••• E••••• C•••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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