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•••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 28, 2012 · 21 filings
SEC status approved since Apr 19, 2002
RAUM
$430M
reported, Item 5.F
Discretionary
18%
of RAUM
Private clients
83%
$357M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$430M as of Mar 19, 2026
Mar 28, 2012$357M then
HNW client RAUM$357M as of Mar 19, 2026
Mar 29, 2018$457M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 28, 20120 then
Employees (5.A)7 as of Mar 19, 2026
Mar 28, 201316 then
Private funds1 as of Mar 19, 2026
Mar 28, 20125 then
RAUM +16% over the last fiscal year+8.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $23.8MderivedHNW RAUM over HNW clients
- Average account
- $23.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 18%derivedof RAUM
- Institutional
- 3.0%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$357M83%
- Pooled investment vehicles$57.3M13%
- Charitable organizations$12.9M3.0%
- Corporations and businesses$2.9M0.7%
- Individual clients
- 0reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.83 fund_share=0.13 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• L•••• F••• L• | Hedge Fund | $70.9M | 35 | Mar 28, 2012 |
| D•••• V••••••••• Q• F••• L•no longer reported | Hedge Fund | $41.0M | 19 | Mar 28, 2012 |
| W•••••••• S•••• C•• F••• L•no longer reported | Hedge Fund | $36.8M | 21 | Mar 28, 2012 |
| W•••••••• S•••• C•• Q• F••• L•no longer reported | Hedge Fund | $35.7M | 19 | Mar 28, 2012 |
| D•••• M•••••••• F••• L•no longer reported | Hedge Fund | $20.8M | 30 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• K••••••• G••••• · Cfo / Ccocontrolsince 10/2008 · owns less than 5%
- D••••• C••••••• M•••••• · Managing Member / Chairmancontrolsince 02/2002 · owns 50% to 75%
- D••••• M•••• N••••• · Managing Member / Chief Executive Officercontrolsince 01/2003 · owns 50% to 75%
- H••••••••• N••••• · Portfolio Managercontrolsince 05/2020 · owns less than 5%
Related persons
Schedule D 7.A
- D•••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · 0 to 1Mar 27, 2025 to Mar 19, 2026
- Corporate clients · 0 to 1Mar 27, 2025 to Mar 19, 2026
- HNW clients · 17 to 15Mar 27, 2025 to Mar 19, 2026
- Organization form · Limited Liability Company to Limited PartnershipMar 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $83.8M to $75.4MMar 27, 2025 to Mar 19, 2026
- HNW RAUM · $308M to $357MMar 27, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $288M to $355MMar 27, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $63.7M to $57.3MMar 27, 2025 to Mar 19, 2026
- RAUM · $372M to $430MMar 27, 2025 to Mar 19, 2026
- Accounts · 19 to 18Mar 26, 2024 to Mar 27, 2025
- Charity clients · unset to 0.0Mar 26, 2024 to Mar 27, 2025
- Corporate clients · unset to 0.0Mar 26, 2024 to Mar 27, 2025
- HNW clients · 18 to 17Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $88.4M to $83.8MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $333M to $308MMar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $311M to $288MMar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $66.6M to $63.7MMar 26, 2024 to Mar 27, 2025
- RAUM · $400M to $372MMar 26, 2024 to Mar 27, 2025
- Employees · 8 to 7Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $67.9M to $88.4MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $290M to $333MMar 28, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $271M to $311MMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $48.3M to $66.6MMar 28, 2023 to Mar 26, 2024
- RAUM · $339M to $400MMar 28, 2023 to Mar 26, 2024
- Accounts · 26 to 19Mar 30, 2022 to Mar 28, 2023
- HNW clients · 24 to 18Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $121M to $67.9MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $366M to $290MMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $335M to $271MMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $86.3M to $48.3MMar 30, 2022 to Mar 28, 2023
- RAUM · $456M to $339MMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $308M to $335MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $128M to $86.3MMar 30, 2021 to Mar 30, 2022
- RAUM · $497M to $456MMar 30, 2021 to Mar 30, 2022
- Accounts · 25 to 26Mar 30, 2021 to Mar 30, 2022
- HNW clients · 23 to 24Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $189M to $121MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $367M to $366MMar 30, 2021 to Mar 30, 2022
- Accounts · 24 to 25Jun 29, 2020 to Mar 30, 2021
Signals
6 dated events
- D•••• M••••••••• L•• reported RAUM $338.8M, down 26% from $455.7M (2022-03-30 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- D•••• M••••••••• L•• reported RAUM $496.6M, up 84% from $269.2M (2020-06-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Nikhil Hingorani (Portfolio Manager) appeared on Schedule A of D•••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- D•••• M••••••••• L•• reported RAUM $269.2M, down 49% from $531.8M (2020-03-27 to 2020-05-29)May 29, 2020 · RAUM change · derived
- M•••••• N••• K•••• (Portfolio Manager) no longer on Schedule A of D•••• M••••••••• L•• (listed 2020-03-27, absent 2020-05-29)May 29, 2020 · Control person left · inference
- M•••••• N••• K•••• (Portfolio Manager) appeared on Schedule A of D•••• M••••••••• L••Aug 7, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 212-904-0321reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/D••••-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- D••••LLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-904-0321reportedpublic 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
- Independent wealth managerderiveda 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