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•• C•••••• P••••••• L•••

Former SEC-registered adviserStamford, ConnecticutCRD 117815SEC 801-60809IAPD
Latest filing Sep 26, 2012
First filing on the tape Jun 4, 2012 · 3 filings
RAUM
$14.9M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$28.1M gross assets
History
3 filings and snapshots on the tape
RAUM$14.9M as of Sep 26, 2012
Jun 4, 2012$16.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 26, 2012
Jun 4, 20120 then
Employees (5.A): no history
Private funds2 as of Sep 26, 2012
Jun 4, 20122 then
Practice profile
derived from the filing of Sep 26, 2012; 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
$14.9MderivedRAUM 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
unknownderivedbetween 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 pooled vehiclesreportedItem 5.G
Custody
$14.9M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$14.9M for 1 clientsreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• S••••• L••Hedge Fund$28.3M1Jun 4, 2012
      D•• P•••••• I•••••••• L••Private Equity Fund$11.3M8Jun 4, 2012
      C•••••• S••••• J• L••Hedge Fund$3.8M1Mar 10, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• G•••• S•••••• · Director Of The General Partnerscontrol
        since 11/2001 · owns 25% to 50%
      • K••••• B••••• L• · Director Of The General Partnerscontrol
        since 11/2001 · owns 25% to 50%
      • D••••• G•••• S•••••• · Shareholdercontrol
        since 12/2000 · owns 25% to 50% of D•• C•••••• I•••
      • K••••• B••••• L• · Shareholdercontrol
        since 12/2000 · owns 25% to 50% of D•• C•••••• I•••
      • P••••••• A•••••• · General Counsel & Chief Compliance Officer
        since 03/2011 · owns less than 5%
      Entity owners
      • D•• C•••••• I••• · General Partner
        direct · owns 25% to 50%
      • D•• M••••••••• C•••••• I••• · General Partner
        direct · owns 25% to 50%
      • D•• C•••••• I••• · Shareholder
        indirect · owns 75% or more of D•• M••••••••• C•••••• I•••
      • B•• 2••• G••• · Shareholder
        indirect · owns 25% to 50% of Dkr Capital, Inc.
      • G••• D•••• 2••• G••• · Shareholder
        indirect · owns 25% to 50% of Dkr Capital, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list D•• C•••••• P••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 1
        Jun 4, 2012 to Jun 28, 2012
      • Assets in custody · $15.1M to $14.9M
        Jun 4, 2012 to Jun 28, 2012
      • Custody of client assets · false to true
        Jun 4, 2012 to Jun 28, 2012
      • Organization form · Partnership to Limited Partnership
        Jun 4, 2012 to Jun 28, 2012
      • Discretionary RAUM · $16.5M to $14.9M
        Jun 4, 2012 to Jun 28, 2012
      • RAUM · $16.5M to $14.9M
        Jun 4, 2012 to Jun 28, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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