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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Former SEC-registered adviser
D••••• M••••• C•••••• A•••••••• I•••
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 25 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
77%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$39.8M gross assets
History
25 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2021
Mar 30, 2012$1.1B then
HNW client RAUM$1.1B as of Mar 31, 2021
Mar 29, 2018$840M then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)6 as of Mar 31, 2021
Mar 27, 20139 then
Private funds1 as of Mar 31, 2021
Mar 30, 20124 then
RAUM +8.6% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
- $14.5MderivedHNW RAUM over HNW clients
- Average account
- $8.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 21%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $39.8M, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B77%
- Other investment advisers$120M8.7%
- Pooled investment vehicles$117M8.5%
- Pension and profit-sharing plans$74.4M5.4%
- Charitable organizations$5.4M0.4%
- Individuals$1.1M0.1%
- Individual clients
- n/areported
- HNW clients
- 73reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 165reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.8M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- A••• B•••• L••••• to P••••• C•••••• A•••••••• L••Dec 18, 2002 · Other
Joined, latest
none on the tape
Private funds
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B• C••••••••no longer reported | Other Private Fund | $873M | 5 | Mar 30, 2012 |
| B••••••••• • L••• T•••• L•no longer reported | Other Private Fund | $405M | 11 | Mar 27, 2015 |
| B••••••••• • I••••••••• T•••• L•••no longer reported | Other Private Fund | $143M | 11 | Mar 27, 2015 |
| L•• D••••••• G••••• F•••• I••••• F•••• L•no longer reported | Other Private Fund | $91.1M | 22 | Apr 12, 2012 |
| T•• F••••• L• I• I•••no longer reported | Other Private Fund | $73.9M | 5 | Mar 30, 2012 |
| K•••• H•••••••• L•no longer reported | Other Private Fund | $61.0M | 19 | Mar 27, 2015 |
| G•••••••• P••••••• L• | Other Private Fund | $39.8M | 8 | Mar 30, 2012 |
| G••••• S•••••••• F•••• I••••• F•••• L•••no longer reported | Other Private Fund | $31.6M | 22 | Apr 12, 2012 |
| D•••••••• I••••••••• E••••• F•••• L••no longer reported | Other Private Fund | $31.3M | 22 | Apr 12, 2012 |
| B••••••••• • S•••• T•••• L•••no longer reported | Other Private Fund | $12.9M | 11 | Mar 27, 2015 |
| H••• Y•••• D••••••• C•••••••• F•••• I•••••• L•••no longer reported | Other Private Fund | $11.3M | 22 | Apr 12, 2012 |
| C•••••••• L•no longer reported | Other Private Fund | $9.7M | 22 | Apr 12, 2012 |
| D••••••• M•• C•• E••••• F•••• L•••no longer reported | Other Private Fund | $8.6M | 22 | Apr 12, 2012 |
| R••• C•••••• P••••••• F•••no longer reported | Other Private Fund | $7.4M | 1 | Mar 21, 2017 |
| D••••••• L•••• C•• E••••• F•••• L•••no longer reported | Other Private Fund | $6.0M | 22 | Apr 12, 2012 |
| M••••• P•••••••• L•no longer reported | Other Private Fund | $198,682 | 3 | Mar 30, 2012 |
| I••• F•••• L•no longer reported | Other Private Fund | $165,770 | 22 | Apr 12, 2012 |
| M•••••• F•••••• F•••• L•••no longer reported | Other Private Fund | $3,365 | 22 | Apr 12, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• G•••••• W••••••••• · Directorcontrolsince 07/2010 · owns less than 5%
- M•••••• J••••• L••• · Chairman, Director, President, Ceocontrolsince 05/1980 · owns less than 5%
- R•••••• P•••• S••••• · Vice President & Directorcontrolsince 01/2011 · owns less than 5%
- C••••••• G•••••• W••••••••• · Shareholdercontrolsince 11/2004 · owns 75% or more of D••••• M••••• • C••
- D••••••••• D••••• · Chief Compliance Officersince 01/2021 · owns less than 5%
- H•••••• E••••• M•••••• · Vice President, Chief Investment Strategist & Coosince 08/2015 · owns less than 5%
Entity owners
- D••••• M••••• • C•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- D••••• M••••• • C••investment adviseryRAUM $607M
- H•••••••• F•••••••• S•••••••• I•••investment adviserpooled vehicle sponsornRAUM $366M
- H•••••••• T•••• S••••••••• I•••broker-dealern
- R•• W••• M••••••••• I•• L••pooled vehicle sponsory
- T•• H•••••••• T•••• C••••••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 104 to 165Jan 29, 2021 to Mar 31, 2021
- Advisory employees · 4 to 3Jan 29, 2021 to Mar 31, 2021
- Charity clients · unset to 2.0Jan 29, 2021 to Mar 31, 2021
- HNW clients · 89 to 73Jan 29, 2021 to Mar 31, 2021
- Pension plan clients · unset to 1.0Jan 29, 2021 to Mar 31, 2021
- Assets in custody · $37.5M to $39.8MJan 29, 2021 to Mar 31, 2021
- Employees · 9 to 6Jan 29, 2021 to Mar 31, 2021
- Discretionary RAUM · $253M to $285MJan 29, 2021 to Mar 31, 2021
- HNW RAUM · $936M to $1.1BJan 29, 2021 to Mar 31, 2021
- Individual RAUM · $1.2M to $1.1MJan 29, 2021 to Mar 31, 2021
- Non-discretionary RAUM · $1.0B to $1.1BJan 29, 2021 to Mar 31, 2021
- Pension RAUM · $62.2M to $74.4MJan 29, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $98.2M to $117MJan 29, 2021 to Mar 31, 2021
- RAUM · $1.3B to $1.4BJan 29, 2021 to Mar 31, 2021
- Accounts · 98 to 104May 24, 2019 to Mar 30, 2020
- HNW clients · 83 to 89May 24, 2019 to Mar 30, 2020
- Assets in custody · $31.1M to $37.5MMay 24, 2019 to Mar 30, 2020
- Employees · 10 to 9May 24, 2019 to Mar 30, 2020
- Discretionary RAUM · $191M to $253MMay 24, 2019 to Mar 30, 2020
- HNW RAUM · $748M to $936MMay 24, 2019 to Mar 30, 2020
- Individual RAUM · $1.1M to $1.2MMay 24, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $979M to $1.0BMay 24, 2019 to Mar 30, 2020
- Pension RAUM · $55.0M to $62.2MMay 24, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $78.2M to $98.2MMay 24, 2019 to Mar 30, 2020
- RAUM · $1.2B to $1.3BMay 24, 2019 to Mar 30, 2020
- Accounts · 83 to 98Jul 5, 2018 to Mar 25, 2019
- Advisory employees · 5 to 4Jul 5, 2018 to Mar 25, 2019
- Charity clients · 3.0 to unsetJul 5, 2018 to Mar 25, 2019
- Corporate clients · 1.0 to unsetJul 5, 2018 to Mar 25, 2019
- HNW clients · 70 to 83Jul 5, 2018 to Mar 25, 2019
- Individual clients · 2.0 to unsetJul 5, 2018 to Mar 25, 2019
- Pension plan clients · 2.0 to unsetJul 5, 2018 to Mar 25, 2019
- Assets in custody · $37.0M to $31.1MJul 5, 2018 to Mar 25, 2019
- Employees · 11 to 10Jul 5, 2018 to Mar 25, 2019
- Discretionary RAUM · $205M to $191MJul 5, 2018 to Mar 25, 2019
- HNW RAUM · $840M to $748MJul 5, 2018 to Mar 25, 2019
- Individual RAUM · $1.2M to $1.1MJul 5, 2018 to Mar 25, 2019
- Non-discretionary RAUM · $910M to $979MJul 5, 2018 to Mar 25, 2019
- Pension RAUM · $59.8M to $55.0MJul 5, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $87.0M to $78.2MJul 5, 2018 to Mar 25, 2019
Signals
1 dated events
- Dianne Descoteaux (Chief Compliance Officer) appeared on Schedule A of D••••• M••••• C•••••• A•••••••• I•••Jan 29, 2021 · Control person joined · 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
- 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026