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•••• S••••••• A••••••• • N•• I•••
Latest filing Mar 19, 2026
First filing on the tape Mar 19, 2012 · 21 filings
SEC status approved since Nov 20, 1996
RAUM
$22B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$71.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
57
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$22B as of Mar 19, 2026
Mar 19, 2012$48B then
HNW client RAUM$71.2M as of Mar 19, 2026
Mar 29, 2018$35.0M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 15, 20130 then
Employees (5.A)57 as of Mar 19, 2026
Mar 15, 2013112 then
Private funds: no history
RAUM +19% over the last fiscal year+14% 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
- $35.6MderivedHNW RAUM over HNW clients
- Average account
- $594MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%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
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- Investment companies$16B75%
- Charitable organizations$5.0B23%
- Corporations and businesses$497M2.3%
- High-net-worth individuals$71.2M0.3%
- Pension and profit-sharing plans$38.7M0.2%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 3reported
- Charitable clients
- 9reported
- Accounts
- 37reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.75 institutional_share=0.23 related_bd=true related_bank=false bd_reps=18.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••••••• C••••• · Sole Membercontrolsince 12/2000 · owns 75% or more of D•••• I••••••••• L••
- C••••• L•••• J• · Vice President, Chief Legal Officersince 06/2021 · owns less than 5%
- D••••• A•••••• A•••• · Presidentsince 09/1996 · owns less than 5%
- D••••• C••••••••• C••••• · Chairman And Chief Executive Officersince 09/1996 · owns less than 5%
- E•••• K••••••• C•••••• · Vice President And Chief Operating Officersince 03/1997 · owns less than 5%
- M••••••••• M••••••• · Vice President, Chief Compliance Officersince 02/2023 · owns less than 5%
- T••• G•••• P••• · Vice President And Treasurersince 05/1998 · owns less than 5%
- W••••• R••••••• O••• · Vice Presidentsince 09/1996 · owns less than 5%
Entity owners
- D•••• S••••••• A••••••• L• · 100% Corporate Ownerdirect · owns 75% or more
- D•••• I••••••••• L•• · General Partnerindirect · owns F of D•••• S••••••• Advisers, L.P.
Related persons
Schedule D 7.A
- D•••• D••••••••• L••broker-dealery
- D•••• S••••••• A••••••• L•investment adviseryRAUM $30B
Advisers that list D•••• S••••••• A••••••• • N•• I••• as a related person
- 108674 y
Offices
Schedule D 1.F, the 25 largest
- Tucson, AZ1 employees
What changed
consecutive filings, newest first
- Advisory employees · 12 to 10Jun 27, 2025 to Mar 19, 2026
- BD registered reps · 16 to 18Jun 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $18B to $22BJun 27, 2025 to Mar 19, 2026
- HNW RAUM · $59.4M to $71.2MJun 27, 2025 to Mar 19, 2026
- Pension RAUM · $32.2M to $38.7MJun 27, 2025 to Mar 19, 2026
- RAUM · $18B to $22BJun 27, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Jun 27, 2025
- Advisory employees · 11 to 12Mar 20, 2024 to Mar 20, 2025
- Employees · 51 to 57Mar 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $17B to $18BMar 20, 2024 to Mar 20, 2025
- HNW RAUM · $51.2M to $59.4MMar 20, 2024 to Mar 20, 2025
- Pension RAUM · $29.1M to $32.2MMar 20, 2024 to Mar 20, 2025
- RAUM · $17B to $18BMar 20, 2024 to Mar 20, 2025
- BD registered reps · 15 to 16Mar 23, 2023 to Mar 20, 2024
- Employees · 52 to 51Mar 23, 2023 to Mar 20, 2024
- Discretionary RAUM · $15B to $17BMar 23, 2023 to Mar 20, 2024
- HNW RAUM · $40.0M to $51.2MMar 23, 2023 to Mar 20, 2024
- Pension RAUM · $27.2M to $29.1MMar 23, 2023 to Mar 20, 2024
- RAUM · $15B to $17BMar 23, 2023 to Mar 20, 2024
- Accounts · 48 to 37Mar 28, 2022 to Mar 23, 2023
- Advisory employees · 10 to 11Mar 28, 2022 to Mar 23, 2023
- BD registered reps · 20 to 15Mar 28, 2022 to Mar 23, 2023
- HNW clients · 13 to 2Mar 28, 2022 to Mar 23, 2023
- Employees · 54 to 52Mar 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $21B to $15BMar 28, 2022 to Mar 23, 2023
- HNW RAUM · $139M to $40.0MMar 28, 2022 to Mar 23, 2023
- Pension RAUM · $32.9M to $27.2MMar 28, 2022 to Mar 23, 2023
- RAUM · $21B to $15BMar 28, 2022 to Mar 23, 2023
- Accounts · 49 to 48Mar 31, 2021 to Mar 25, 2022
- Advisory employees · 11 to 10Mar 31, 2021 to Mar 25, 2022
- BD registered reps · 22 to 20Mar 31, 2021 to Mar 25, 2022
- Charity clients · 10 to 9Mar 31, 2021 to Mar 25, 2022
- Corporate clients · unset to 3.0Mar 31, 2021 to Mar 25, 2022
- HNW clients · 11 to 13Mar 31, 2021 to Mar 25, 2022
- Pension plan clients · 5 to 3Mar 31, 2021 to Mar 25, 2022
- Employees · 61 to 54Mar 31, 2021 to Mar 25, 2022
- Discretionary RAUM · $20B to $21BMar 31, 2021 to Mar 25, 2022
- HNW RAUM · $112M to $139MMar 31, 2021 to Mar 25, 2022
- Pension RAUM · $136M to $32.9MMar 31, 2021 to Mar 25, 2022
- RAUM · $20B to $21BMar 31, 2021 to Mar 25, 2022
Signals
1 dated events
- D•••• S••••••• A••••••• • N•• I••• reported RAUM $14.9B, down 28% from $20.7B (2022-03-28 to 2023-03-23)Mar 23, 2023 · 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
- Principal office phone
- (212) 891-5500reportedpublic 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
- 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