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•••• P•••••••• L•
Latest filing Mar 30, 2018
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
$255M
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
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$255M gross assets
History
17 filings and snapshots on the tape
RAUM$255M as of Mar 30, 2018
Mar 28, 2012$405M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 28, 20120 then
Employees (5.A)7 as of Mar 30, 2018
Mar 26, 20136 then
Private funds3 as of Mar 30, 2018
Mar 28, 20122 then
RAUM -60% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
- $63.6MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -60%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 pooled vehiclesreportedItem 5.G
- Custody
- $134M, 4 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$255M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $134M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• P•••••••• L••• | Hedge Fund | $236M | 19 | Mar 28, 2012 |
| P•••• O••••••• F••• L•• | Hedge Fund | $12.6M | 0 | Mar 28, 2012 |
| D•••• G••••• M••••• F••• L• | Hedge Fund | $6.0M | 1 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- J•••••• C••••••• E••• · Portfolio Managercontrolsince 03/1999 · owns 75% or more
- R•••••• R••••••• S• · Chief Operating Officercontrolsince 01/2007 · owns less than 5%
- J•••••• C••••••• E••• · Managing Membercontrolsince 01/2016 · owns F of D•••• P••••••• G•• L••
- K•••••• W••••• C• · Client Service/ Vice Presidentsince 06/2002 · owns less than 5%
- V•••• S••••• J•••• · Managing Directorsince 12/2016 · owns less than 5%
Entity owners
- D•••• P••••••• G•• L•• · General Partnerdirect · owns less than 5%
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
- Accounts · 2 to 4Jan 12, 2018 to Mar 30, 2018
- Pooled vehicle clients · unset to 4.0Jan 12, 2018 to Mar 30, 2018
- Assets in custody · $291M to $134MJan 12, 2018 to Mar 30, 2018
- Private funds · 2 to 3Jan 12, 2018 to Mar 30, 2018
- Discretionary RAUM · $629M to $255MJan 12, 2018 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 254534637.0Jan 12, 2018 to Mar 30, 2018
- RAUM · $629M to $255MJan 12, 2018 to Mar 30, 2018
- Other offices · unset to 0.0Apr 17, 2017 to Jan 12, 2018
- Assets in custody · $282M to $291MSep 23, 2016 to Jan 30, 2017
- Employees · 6 to 7Sep 23, 2016 to Jan 30, 2017
- Discretionary RAUM · $660M to $629MSep 23, 2016 to Jan 30, 2017
- RAUM · $660M to $629MSep 23, 2016 to Jan 30, 2017
- Business name · D•••• P••••••• L•• to D•••• P•••••••• L•Jan 6, 2016 to Mar 14, 2016
- Assets in custody · $282M to $282MJan 6, 2016 to Mar 14, 2016
- Legal name · D•••• P••••••• L•• to D•••• P•••••••• L•Jan 6, 2016 to Mar 14, 2016
- Discretionary RAUM · $631M to $660MJan 6, 2016 to Mar 14, 2016
- RAUM · $631M to $660MJan 6, 2016 to Mar 14, 2016
- Assets in custody · $241M to $282MAug 14, 2015 to Jan 6, 2016
- Organization form · Limited Liability Company to Limited PartnershipAug 14, 2015 to Jan 6, 2016
- Discretionary RAUM · $480M to $631MAug 14, 2015 to Jan 6, 2016
- RAUM · $480M to $631MAug 14, 2015 to Jan 6, 2016
- Assets in custody · $193M to $241MMar 27, 2015 to Aug 14, 2015
- Discretionary RAUM · $399M to $480MMar 27, 2015 to Aug 14, 2015
- RAUM · $399M to $480MMar 27, 2015 to Aug 14, 2015
- Assets in custody · $190M to $193MJun 18, 2014 to Mar 27, 2015
- Discretionary RAUM · $462M to $399MJun 18, 2014 to Mar 27, 2015
- RAUM · $462M to $399MJun 18, 2014 to Mar 27, 2015
- Assets in custody · $148M to $190MMar 28, 2014 to Jun 18, 2014
- Discretionary RAUM · $325M to $462MMar 28, 2014 to Jun 18, 2014
- RAUM · $325M to $462MMar 28, 2014 to Jun 18, 2014
- Accounts · 3 to 2Jun 28, 2013 to Mar 28, 2014
- Assets in custody · $126M to $148MJun 28, 2013 to Mar 28, 2014
- Discretionary RAUM · $272M to $325MJun 28, 2013 to Mar 28, 2014
- RAUM · $272M to $325MJun 28, 2013 to Mar 28, 2014
- Assets in custody · $118M to $126MMar 26, 2013 to Jun 28, 2013
- Discretionary RAUM · $295M to $272MMar 26, 2013 to Jun 28, 2013
- RAUM · $295M to $272MMar 26, 2013 to Jun 28, 2013
- Advisory employees · unset to 2.0Mar 28, 2012 to Mar 26, 2013
- Assets in custody · $153M to $118MMar 28, 2012 to Mar 26, 2013
- Employees · unset to 6.0Mar 28, 2012 to Mar 26, 2013
Signals
1 dated events
- D•••• P•••••••• L• reported RAUM $254.5M, down 60% from $629.0M (2018-01-12 to 2018-03-30)Mar 30, 2018 · 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.
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