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•••• C•••••• A••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 6, 2012 · 26 filings
SEC status approved since Jan 26, 2006
RAUM
$713M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$713M as of Mar 11, 2026
Mar 6, 2012$660M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 6, 20120 then
Employees (5.A)5 as of Mar 11, 2026
Mar 19, 20137 then
Private funds2 as of Mar 11, 2026
Mar 6, 20121 then
RAUM +15% over the last fiscal year+2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2026; 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
- $79.3MderivedRAUM 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
- +15%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $286M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$286M64%
- Corporations and businesses$159M36%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $286M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.4 institutional_share=0.0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••• C•••••• P•••••••• L••• | Hedge Fund | $350M | 72 | Mar 6, 2012 |
| C•••• I• L•••no longer reported | Hedge Fund | $98.3M | 26 | Apr 19, 2013 |
| D•••• C•••••• P••••••• I•• L••• | Hedge Fund | $90.0M | 19 | Mar 20, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C•••• K••••••• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- G•••••• R•• · Member, Managing Director, And Chief Compliance Officercontrolsince 03/2003 · owns 10% to 25%
- M••••••••• D••••• B•••• · Managing Member And Managing Directorcontrolsince 03/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $268M to $286MMar 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $621M to $713MMar 14, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $268M to $286MMar 14, 2025 to Mar 11, 2026
- RAUM · $621M to $713MMar 14, 2025 to Mar 11, 2026
- Accounts · 8 to 9Mar 26, 2024 to Mar 14, 2025
- Advisory employees · 3 to 2Mar 26, 2024 to Mar 14, 2025
- Assets in custody · $439M to $268MMar 26, 2024 to Mar 14, 2025
- Employees · 6 to 5Mar 26, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 14, 2025
- Discretionary RAUM · $653M to $621MMar 26, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $439M to $268MMar 26, 2024 to Mar 14, 2025
- RAUM · $653M to $621MMar 26, 2024 to Mar 14, 2025
- Accounts · 7 to 8Mar 24, 2023 to Mar 26, 2024
- Assets in custody · $461M to $439MMar 24, 2023 to Mar 26, 2024
- HQ city · GREENWICH to OLD GREENWICHMar 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $656M to $653MMar 24, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $461M to $439MMar 24, 2023 to Mar 26, 2024
- RAUM · $656M to $653MMar 24, 2023 to Mar 26, 2024
- Assets in custody · $525M to $461MMar 22, 2022 to Mar 24, 2023
- Discretionary RAUM · $896M to $656MMar 22, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $525M to $461MMar 22, 2022 to Mar 24, 2023
- RAUM · $896M to $656MMar 22, 2022 to Mar 24, 2023
- Advisory employees · 4 to 3Mar 17, 2021 to Mar 22, 2022
- Assets in custody · $545M to $525MMar 17, 2021 to Mar 22, 2022
- Employees · 7 to 6Mar 17, 2021 to Mar 22, 2022
- Discretionary RAUM · $885M to $896MMar 17, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $545M to $525MMar 17, 2021 to Mar 22, 2022
- RAUM · $885M to $896MMar 17, 2021 to Mar 22, 2022
- Assets in custody · $533M to $545MMar 23, 2020 to Mar 17, 2021
- Discretionary RAUM · $844M to $885MMar 23, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $533M to $545MMar 23, 2020 to Mar 17, 2021
- RAUM · $844M to $885MMar 23, 2020 to Mar 17, 2021
- Assets in custody · unset to 532847000.0Mar 21, 2019 to Mar 23, 2020
- Custody of client assets · false to trueMar 21, 2019 to Mar 23, 2020
- Discretionary RAUM · $818M to $844MMar 21, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $522M to $533MMar 21, 2019 to Mar 23, 2020
- RAUM · $818M to $844MMar 21, 2019 to Mar 23, 2020
- Assets in custody · 579915000.0 to unsetJun 29, 2018 to Mar 21, 2019
- Custody of client assets · true to falseJun 29, 2018 to Mar 21, 2019
- Discretionary RAUM · $829M to $818MJun 29, 2018 to Mar 21, 2019
Signals
3 dated events
- D•••• C•••••• A••••••• L•• reported RAUM $655.5M, down 27% from $896.3M (2022-03-22 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- Kuo-Chan Chen (Chief Financial Officer) appeared on Schedule A of D•••• C•••••• A••••••• L••Mar 24, 2023 · Control person joined · fact
- Shumei Cathy Lai (Member And Chief Financial Officer) no longer on Schedule A of D•••• C•••••• A••••••• L•• (listed 2022-03-22, absent 2023-03-24)Mar 24, 2023 · Control person left · inference
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
- Firm profile
- linkedin.com/company/2922527/adminreportedpublic record, Form ADV, Sep 19, 2026
- Website
- D••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-861-7500reportedpublic record, Form ADV, Mar 11, 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