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• F•••••• P••••••• L••

Former SEC-registered adviserOak Brook, IllinoisCRD 127379SEC 801-62552IAPD
Latest filing Mar 24, 2017
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$763M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$763M gross assets
History
9 filings and snapshots on the tape
RAUM$763M as of Mar 24, 2017
Mar 29, 2012$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 20, 20130 then
Employees (5.A)5 as of Mar 24, 2017
Mar 20, 201323 then
Private funds5 as of Mar 24, 2017
Mar 29, 20126 then
RAUM -21% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2017; 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
$153MderivedRAUM 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
-21%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
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)
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
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••• C•••••• C•• V••• L•••Securitized Asset Fund$350M26Mar 29, 2012
      S••••• R••• C•• 2•••••• L•••Securitized Asset Fund$9.4M5Mar 29, 2012
      D••••• C•••••• C•• V•• L•••Securitized Asset Fund$5.3M15Mar 29, 2012
      D••••• C•••••• C••••• O••••••••• F••• F•••••••• L•••no longer reportedSecuritized Asset Fund$1.6M9Mar 29, 2012
      D••••• C•••••• C•• I•• L•••no longer reportedSecuritized Asset Fund$1.1M39Mar 29, 2012
      D••••• C•••••• C•• V• L•••Securitized Asset Fund$684,80722Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• G••••••• R••••• · Senior Managing Director Of D••••• C•••••• L• Managing Member Of D• F•••••• P••••••• L••control
        since 03/2001 · owns less than 5%
      • K••••••• D••••• P••• · Chief Executive Officer Of D••••• C•••••• L• Managing Member Of D• F•••••• P••••••• L••control
        since 03/2001 · owns less than 5%
      • T••••••• J•••• P••• · Senior Managing Director And Chief Credit Officer Of D••••• C•••••• L• Managing Member Of D• F•••••• P••••••• L••control
        since 03/2001 · owns less than 5%
      • B••••••• D••••••• K••••• · Sole Shareholdercontrol
        since 03/1998 · owns 75% or more of B•••••• C•••••• I•••
      • B••••••• D••••••• K••••• · Sole Shareholdercontrol
        since 04/1995 · owns 75% or more of D•• M••••••••• I•••
      • B••••••• D••••••• K••••• · Limited Partnercontrol
        since 10/2000 · owns 75% or more of B•••••• F••••• P••••••• L•••
      • C•••••• G••••••• R••••• · Trusteecontrol
        since 02/2008 · owns F of G•••••• R• C••••• R•••••••• T•••• U•••• F••••••• 1•• 2•••
      • K••••••• D••••• P••• · Trusteecontrol
        since 11/1997 · owns F of D•••• P• K•••••• D••••••••• O• T•••• U•••• N••••••• 2•• 1•••
      • T••••••• J•••• P••• · Trusteecontrol
        since 04/2001 · owns F of J••• P• T•••••• R•••••••• T•••• U•••• A•••• 3• 2•••
      • M•••••••• S••••• A••••• · Chief Compliance Officer Of D• F•••••• P••••••• L•• And Chief Financial Officer Of D••••• C•••••• L•
        since 07/2011 · owns less than 5%
      • M••••• K•••• · Managing Director Of D••••• C•••••• L• Managing Member Of D• F•••••• P••••••• L••
        since 07/2011 · owns less than 5%
      Entity owners
      • D••••• C•••••• L• · Managing Member
        direct · owns 25% to 50%
      • M••••••• L••• L••• · Member
        direct · owns 50% to 75%
      • B•••••• C•••••• I••• · General Partner
        indirect · owns F of M••••••• L••• L•••
      • B•••••• C•••••• I••• · General Partner
        indirect · owns F of B•••••• C•••••• M••••••••• L•••
      • B•••••• C•••••• M••••••••• L••• · Limited Partner
        indirect · owns 50% to 75% of M••••••• L••• L•••
      • B•••••• F••••• P••••••• L••• · Limited Partner
        indirect · owns 75% or more of B•••••• C•••••• M••••••••• L•••
      • D•••• P• K•••••• D••••••••• O• T•••• U•••• N••••••• 2•• 1••• · Limited Partner Of D••••• C•••••• L• And Member Of D••••• C•••••• G• L••
        indirect · owns 25% to 50% of D••••• C•••••• L• And D••••• C•••••• G• L••
      • D••••• C•••••• G• L•• · General Partner
        indirect · owns F of D••••• C•••••• L•
      • D•• M••••••••• I••• · General Partner
        indirect · owns F of B•••••• F••••• P••••••• L•••
      • G•••••• R• C••••• R•••••••• T•••• U•••• F••••••• 1•• 2••• · Limited Partner Of D••••• C•••••• L• And Member Of D••••• C•••••• G• L••
        indirect · owns 25% to 50% of D••••• C•••••• L• And D••••• C•••••• G• L••
      • J••• P• T•••••• R•••••••• T•••• U•••• A•••• 3• 2••• · Limited Partner Of D••••• C•••••• L• And Member Of D••••• C•••••• G• L••
        indirect · owns 25% to 50% of D••••• C•••••• L• And D••••• C•••••• G• L••
      Related persons
      Schedule D 7.A
      Advisers that list D• F•••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $962M to $763M
        Mar 25, 2016 to Mar 24, 2017
      • RAUM · $962M to $763M
        Mar 25, 2016 to Mar 24, 2017
      • Accounts · 6 to 5
        Mar 30, 2015 to Mar 21, 2016
      • Private funds · 6 to 5
        Mar 30, 2015 to Mar 21, 2016
      • Discretionary RAUM · $1.3B to $962M
        Mar 30, 2015 to Mar 21, 2016
      • RAUM · $1.3B to $962M
        Mar 30, 2015 to Mar 21, 2016
      • Advisory employees · 0 to 5
        Nov 10, 2014 to Mar 30, 2015
      • Employees · 0 to 5
        Nov 10, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.6B to $1.3B
        Nov 10, 2014 to Mar 30, 2015
      • RAUM · $1.6B to $1.3B
        Nov 10, 2014 to Mar 30, 2015
      • Advisory employees · 14 to 0
        Mar 4, 2014 to Nov 10, 2014
      • Employees · 21 to 0
        Mar 4, 2014 to Nov 10, 2014
      • Advisory employees · 23 to 14
        Mar 20, 2013 to Mar 4, 2014
      • Assets in custody · $1.6M to $0
        Mar 20, 2013 to Mar 4, 2014
      • Custody of client assets · true to false
        Mar 20, 2013 to Mar 4, 2014
      • Employees · 23 to 21
        Mar 20, 2013 to Mar 4, 2014
      • Discretionary RAUM · $1.9B to $1.6B
        Mar 20, 2013 to Mar 4, 2014
      • RAUM · $1.9B to $1.6B
        Mar 20, 2013 to Mar 4, 2014
      • Advisory employees · unset to 23.0
        Jul 23, 2012 to Mar 20, 2013
      • Assets in custody · $2.6M to $1.6M
        Jul 23, 2012 to Mar 20, 2013
      • Employees · unset to 23.0
        Jul 23, 2012 to Mar 20, 2013
      • State-registered IARs · unset to 0.0
        Jul 23, 2012 to Mar 20, 2013
      • Discretionary RAUM · $2.1B to $1.9B
        Jul 23, 2012 to Mar 20, 2013
      • RAUM · $2.1B to $1.9B
        Jul 23, 2012 to Mar 20, 2013
      • Assets in custody · $16.0M to $2.6M
        Mar 29, 2012 to Jul 23, 2012
      • Discretionary RAUM · $2.5B to $2.1B
        Mar 29, 2012 to Jul 23, 2012
      • RAUM · $2.5B to $2.1B
        Mar 29, 2012 to Jul 23, 2012
      Signals
      No event on the tape.
      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