DFX Intelligence
RIA Intelligence
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SEC-registered adviser
D•••• C•••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 27, 2012 · 23 filings
SEC status approved since Apr 22, 2005
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
43%
$104M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$240M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$240M as of Mar 11, 2026
Mar 27, 2012$166M then
HNW client RAUM$104M as of Mar 11, 2026
Mar 19, 2018$88.4M then
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 18, 20130 then
Employees (5.A)4 as of Mar 11, 2026
Mar 18, 20134 then
Private funds: no history
RAUM -0.1% over the last fiscal year+8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $240MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $5.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.1%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$109M46%
- High-net-worth individuals$104M43%
- State and municipal entities$11.9M4.9%
- Charitable organizations$10.6M4.4%
- Corporations and businesses$4.2M1.7%
- Individual clients
- n/areported
- HNW clients
- 30reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 41reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $334,432 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.43 fund_share=0.0 institutional_share=0.55 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 |
|---|---|---|---|---|
| W•••••• F•••••• C•••••••Chartered Financial Analyst | Red Bank, Nj | Jan 1, 2026 | 36 y | 2 |
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
- W•••••• F•••••• C••••••• from D•••• C•••••• M••••••••• L••Jun 30, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• A••••••• J••• · Member And Chief Compliance Officercontrolsince 03/2005 · owns 10% to 25%
- C•••••••• W••••••• F•••••• · Membercontrolsince 03/2005 · owns 50% to 75%
- H••••••••• M••••••• M••••• · Membercontrolsince 03/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 11, 2026institutional share of RAUM of 55% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 18.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 38 to 41Mar 10, 2025 to Mar 11, 2026
- HNW clients · 27 to 30Mar 10, 2025 to Mar 11, 2026
- Discretionary RAUM · $240M to $240MMar 10, 2025 to Mar 11, 2026
- HNW RAUM · $94.5M to $104MMar 10, 2025 to Mar 11, 2026
- Pension RAUM · $120M to $109MMar 10, 2025 to Mar 11, 2026
- RAUM · $240M to $240MMar 10, 2025 to Mar 11, 2026
- Wrap assets (manager) · $286,346 to $334,432Mar 10, 2025 to Mar 11, 2026
- Accounts · 41 to 38Mar 18, 2024 to Mar 10, 2025
- HNW clients · 30 to 27Mar 18, 2024 to Mar 10, 2025
- Employees · 3 to 4Mar 18, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 10, 2025
- Other offices · 1 to 0Mar 18, 2024 to Mar 10, 2025
- Discretionary RAUM · $199M to $240MMar 18, 2024 to Mar 10, 2025
- HNW RAUM · $64.2M to $94.5MMar 18, 2024 to Mar 10, 2025
- Pension RAUM · $110M to $120MMar 18, 2024 to Mar 10, 2025
- RAUM · $199M to $240MMar 18, 2024 to Mar 10, 2025
- Wrap assets (manager) · $265,448 to $286,346Mar 18, 2024 to Mar 10, 2025
- Accounts · 47 to 41Mar 20, 2023 to Mar 18, 2024
- Charity clients · 5 to 4Mar 20, 2023 to Mar 18, 2024
- HNW clients · 34 to 30Mar 20, 2023 to Mar 18, 2024
- Discretionary RAUM · $190M to $199MMar 20, 2023 to Mar 18, 2024
- HNW RAUM · $61.8M to $64.2MMar 20, 2023 to Mar 18, 2024
- Pension RAUM · $101M to $110MMar 20, 2023 to Mar 18, 2024
- RAUM · $190M to $199MMar 20, 2023 to Mar 18, 2024
- Wrap assets (manager) · $249,686 to $265,448Mar 20, 2023 to Mar 18, 2024
- Accounts · 49 to 47Mar 23, 2022 to Mar 20, 2023
- HNW clients · 30 to 34Mar 23, 2022 to Mar 20, 2023
- Discretionary RAUM · $218M to $190MMar 23, 2022 to Mar 20, 2023
- HNW RAUM · $79.8M to $61.8MMar 23, 2022 to Mar 20, 2023
- Pension RAUM · $110M to $101MMar 23, 2022 to Mar 20, 2023
- RAUM · $218M to $190MMar 23, 2022 to Mar 20, 2023
- Wrap assets (manager) · $274,067 to $249,686Mar 23, 2022 to Mar 20, 2023
- Accounts · 44 to 49Mar 17, 2021 to Mar 23, 2022
- HNW clients · 32 to 30Mar 17, 2021 to Mar 23, 2022
- Discretionary RAUM · $193M to $218MMar 17, 2021 to Mar 23, 2022
- HNW RAUM · $73.0M to $79.8MMar 17, 2021 to Mar 23, 2022
- Pension RAUM · $93.0M to $110MMar 17, 2021 to Mar 23, 2022
- RAUM · $193M to $218MMar 17, 2021 to Mar 23, 2022
- Wrap assets (manager) · $224,148 to $274,067Mar 17, 2021 to Mar 23, 2022
- Accounts · 40 to 44Nov 18, 2020 to Mar 17, 2021
Signals
No event on the tape.
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 phone
- 212-986-4040reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- D••••-CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-986-4040reportedpublic record, Form ADV, Mar 11, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $240Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026