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•••• A•••• M••••••••• •••••••• L••
Legal name D•••• A•••• M••••••••• •••••••• L•••
Latest filing Jun 23, 2026
First filing on the tape Mar 9, 2012 · 52 filings
SEC status approved since Aug 5, 2011
RAUM
$6.0B
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
12
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$6.0B as of Jun 23, 2026
Jun 29, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 23, 2026
Jun 29, 20120 then
Employees (5.A)12 as of Jun 23, 2026
Jun 7, 201316 then
Private funds: no history
RAUM +183% over the last fiscal year+46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $351MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 69%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
- -18%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, otherreportedItem 5.E
- Advisory activities
- 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)
- 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
- Insurance companies$4.1B69%
- Pooled investment vehicles$1.9B31%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.31 institutional_share=0.69 related_bd=true related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• S••••••• · Directorsince 06/2023 · owns less than 5%
- H••••••••• Y•••••••• · Presidentsince 04/2023 · owns less than 5%
- S••••••••• E••••• · Chief Compliance Officersince 08/2014 · owns less than 5%
- T•••••• A•••••• · Directorsince 04/2018 · owns less than 5%
Entity owners
- D•••• A•••• M••••••••• C•• L••• · Share Holderdirect · owns 75% or more
- D•••• S••••••••• G•••• I••• · Share Holderindirect · owns 75% or more of D•••• A•••• M••••••••• C•• L•••
- J•••• P••• I•••••••• · Acquisition Of 20% Capitalindirect · owns F of D•••• A•••• M••••••••• C•• L•••
Related persons
Schedule D 7.A
- D•••• A•••• M••••••••• ••••••• L•••investment advisern
- D•••• A•••• M••••••••• C•• L•••investment advisery
- D•••• A•••• M••••••••• L•••investment advisern
- D•••• C•••••• M••••••••• S•••••• V••••• I•••investment advisern
- D•••• S••••••••• C•• L•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 17Mar 20, 2026 to Jun 23, 2026
- Advisory employees · 7 to 11Mar 20, 2026 to Jun 23, 2026
- Advisory activities · 1 to 2Mar 20, 2026 to Jun 23, 2026
- Pooled vehicle clients · 15 to 16Mar 20, 2026 to Jun 23, 2026
- Employees · 9 to 12Mar 20, 2026 to Jun 23, 2026
- Discretionary RAUM · $1.7B to $6.0BMar 20, 2026 to Jun 23, 2026
- Pooled vehicle RAUM · $1.7B to $1.9BMar 20, 2026 to Jun 23, 2026
- RAUM · $1.7B to $6.0BMar 20, 2026 to Jun 23, 2026
- Accounts · 16 to 15Feb 6, 2025 to Jun 26, 2025
- Advisory employees · 6 to 7Feb 6, 2025 to Jun 26, 2025
- Pooled vehicle clients · 16 to 15Feb 6, 2025 to Jun 26, 2025
- Employees · 8 to 9Feb 6, 2025 to Jun 26, 2025
- Financial planning clients · unset to Feb 6, 2025 to Jun 26, 2025
- Discretionary RAUM · $2.1B to $1.7BFeb 6, 2025 to Jun 26, 2025
- Pooled vehicle RAUM · $2.1B to $1.7BFeb 6, 2025 to Jun 26, 2025
- RAUM · $2.1B to $1.7BFeb 6, 2025 to Jun 26, 2025
- Accounts · 15 to 16Jun 20, 2023 to Jun 21, 2024
- Advisory employees · 8 to 6Jun 20, 2023 to Jun 21, 2024
- Pooled vehicle clients · 15 to 16Jun 20, 2023 to Jun 21, 2024
- Employees · 10 to 8Jun 20, 2023 to Jun 21, 2024
- Discretionary RAUM · $1.8B to $2.1BJun 20, 2023 to Jun 21, 2024
- Pooled vehicle RAUM · $1.8B to $2.1BJun 20, 2023 to Jun 21, 2024
- RAUM · $1.8B to $2.1BJun 20, 2023 to Jun 21, 2024
- Related bank · false to trueJun 20, 2023 to Jun 21, 2024
- Accounts · 9 to 15Mar 28, 2023 to Jun 20, 2023
- Advisory employees · 6 to 8Mar 28, 2023 to Jun 20, 2023
- Pooled vehicle clients · 9 to 15Mar 28, 2023 to Jun 20, 2023
- Employees · 8 to 10Mar 28, 2023 to Jun 20, 2023
- Discretionary RAUM · $1.9B to $1.8BMar 28, 2023 to Jun 20, 2023
- Pooled vehicle RAUM · $1.9B to $1.8BMar 28, 2023 to Jun 20, 2023
- RAUM · $1.9B to $1.8BMar 28, 2023 to Jun 20, 2023
- Accounts · 6 to 9Oct 7, 2021 to Jun 29, 2022
- Advisory employees · 7 to 6Oct 7, 2021 to Jun 29, 2022
- Pooled vehicle clients · 6 to 9Oct 7, 2021 to Jun 29, 2022
- Employees · 9 to 8Oct 7, 2021 to Jun 29, 2022
- Discretionary RAUM · $693M to $1.9BOct 7, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $693M to $1.9BOct 7, 2021 to Jun 29, 2022
- RAUM · $693M to $1.9BOct 7, 2021 to Jun 29, 2022
- Pooled vehicle clients · 23 to 6Jun 26, 2020 to Jun 29, 2021
- Employees · 16 to 9Jun 26, 2020 to Jun 29, 2021
Signals
7 dated events
- D•••• A•••• M••••••••• •••••••• L•• reported RAUM $6.0B, up 246% from $1.7B (2026-03-20 to 2026-06-23)Jun 23, 2026 · RAUM change · derived
- D•••• A•••• M••••••••• •••••••• L•• reported RAUM $1.9B, up 175% from $693.1M (2021-10-07 to 2022-06-29)Jun 29, 2022 · RAUM change · derived
- Jun Shiota (President) no longer on Schedule A of D•••• A•••• M••••••••• •••••••• L•• (listed 2021-06-30, absent 2021-10-07)Oct 7, 2021 · Control person left · inference
- D•••• A•••• M••••••••• •••••••• L•• reported RAUM $693.1M, up 173% from $254.3M (2020-06-26 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- D•••• A•••• M••••••••• •••••••• L•• reported RAUM $254.3M, down 32% from $374.3M (2019-11-22 to 2020-06-26)Jun 26, 2020 · RAUM change · derived
- D•••• A•••• M••••••••• •••••••• L•• reported RAUM $374.3M, down 27% from $513.1M (2018-10-31 to 2019-06-27)Jun 27, 2019 · RAUM change · derived
- D•••• A•••• M••••••••• •••••••• L•• reported RAUM $513.1M, down 27% from $699.2M (2018-05-02 to 2018-06-28)Jun 28, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-612-6254reportedpublic record, Form ADV, Jun 23, 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
- Other 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