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•••••• A•••••••• L••
Latest filing Mar 27, 2019
First filing on the tape Dec 23, 2011 · 11 filings
RAUM
$131M
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
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$142M gross assets
History
11 filings and snapshots on the tape
RAUM$132M as of Mar 29, 2018
Mar 29, 2012$825M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 20130 then
Employees (5.A)14 as of Mar 29, 2018
Mar 28, 201323 then
Private funds5 as of Mar 29, 2018
Mar 29, 20127 then
RAUM -6.1% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2019; 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
- $32.9MderivedRAUM 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
- -5.7%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $131M, 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$131M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $131M 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• C•••••• I••••••••• L••• | Hedge Fund | $6.0M | 7 | Dec 23, 2011 |
| H••• L••••••no longer reported | Hedge Fund | $3.7M | 3 | Mar 29, 2012 |
| E•••••••• A••••••• H•••••••• L•••no longer reported | Hedge Fund | $566,000 | 3 | Mar 29, 2012 |
| D••••••••• A•••• C•••• R••••••••• I•• L•• | Other Private Fund | $500,000 | 1 | Mar 31, 2015 |
| D••••••••• C•••••• P••••••• S••••• O••••••••• L•no longer reported | Hedge Fund | $0 | 34 | Dec 23, 2011 |
| D••••••••• C•••••• L•••••••• L•no longer reported | Hedge Fund | $0 | 0 | Dec 23, 2011 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••• T••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 02/2004 · owns 5% to 10%
- Z•••••• M•••• S••••• · Membercontrolsince 10/2001 · owns 75% or more
- K•••••• S••••••• · Chief Operating Officersince 10/2014 · owns less than 5%
- S••••••••• B••••• J••••• · Director Of Researchsince 10/2014 · owns 5% to 10%
Related persons
Schedule D 7.A
- D••••••••• C•••••• A••••••• I••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $183M
- D••••••••• C•••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $1.7B
Advisers that list D••••••••• C•••••• A•••••••• L•• as a related person
- 134615 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 29, 2018 to Dec 19, 2018
- Pooled vehicle clients · 5 to 4Mar 29, 2018 to Dec 19, 2018
- Assets in custody · $140M to $131MMar 29, 2018 to Dec 19, 2018
- Private funds · 5 to 4Mar 29, 2018 to Dec 19, 2018
- Discretionary RAUM · $132M to $131MMar 29, 2018 to Dec 19, 2018
- Pooled vehicle RAUM · $132M to $131MMar 29, 2018 to Dec 19, 2018
- RAUM · $132M to $131MMar 29, 2018 to Dec 19, 2018
- Accounts · 6 to 5Mar 31, 2017 to Mar 29, 2018
- Advisory employees · 9 to 10Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 5.0Mar 31, 2017 to Mar 29, 2018
- Employees · 12 to 14Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Private funds · 6 to 5Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $140M to $132MMar 31, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 132000000.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $140M to $132MMar 31, 2017 to Mar 29, 2018
- Accounts · 7 to 6Oct 10, 2016 to Mar 31, 2017
- Advisory employees · 10 to 9Oct 10, 2016 to Mar 31, 2017
- Assets in custody · $203M to $140MOct 10, 2016 to Mar 31, 2017
- Employees · 13 to 12Oct 10, 2016 to Mar 31, 2017
- Private funds · 7 to 6Oct 10, 2016 to Mar 31, 2017
- Discretionary RAUM · $203M to $140MOct 10, 2016 to Mar 31, 2017
- RAUM · $203M to $140MOct 10, 2016 to Mar 31, 2017
- Accounts · 5 to 7Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 12 to 10Mar 31, 2015 to Mar 30, 2016
- Assets in custody · $313M to $203MMar 31, 2015 to Mar 30, 2016
- Employees · 16 to 13Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $313M to $203MMar 31, 2015 to Mar 30, 2016
- RAUM · $313M to $203MMar 31, 2015 to Mar 30, 2016
- Accounts · 7 to 5Mar 31, 2014 to Mar 31, 2015
- Advisory employees · 13 to 12Mar 31, 2014 to Mar 31, 2015
- Advisory activities · 1 to 2Mar 31, 2014 to Mar 31, 2015
- Assets in custody · $337M to $313MMar 31, 2014 to Mar 31, 2015
- Employees · 19 to 16Mar 31, 2014 to Mar 31, 2015
- Private funds · 6 to 7Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $337M to $313MMar 31, 2014 to Mar 31, 2015
- RAUM · $337M to $313MMar 31, 2014 to Mar 31, 2015
- Advisory employees · 14 to 13Mar 28, 2013 to Mar 31, 2014
- Assets in custody · $825M to $337MMar 28, 2013 to Mar 31, 2014
- Employees · 23 to 19Mar 28, 2013 to Mar 31, 2014
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