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•• M•• A•••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 137049SEC 801-64890IAPD
Latest filing May 20, 2016
First filing on the tape Feb 10, 2012 · 15 filings
RAUM
$213M
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
10
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$210M gross assets
History
15 filings and snapshots on the tape
RAUM$213M as of Mar 19, 2015
Feb 10, 2012$660M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2015
Mar 27, 20130 then
Employees (5.A)10 as of Mar 19, 2015
Mar 27, 201315 then
Private funds2 as of Mar 19, 2015
Feb 10, 20124 then
RAUM -54% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 2016; 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
$30.5MderivedRAUM 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
-54%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
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 securities (9.A.1.b)
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
7reported
Financial planning clients
n/areported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•• M•• M••••• F••• L••Hedge Fund$197M95Feb 10, 2012
      D•• M•• R•••••••• F••• L••no longer reportedHedge Fund$36.0M2Feb 10, 2012
      D•• M•• I•••• O••••••••• M••••• F•••• L••no longer reportedHedge Fund$14.9M8Feb 10, 2012
      D•• M•• S•••••• O••••••••• M••••• F••• L••no longer reportedHedge Fund$2.2M0Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• D••••• W••••••• · Ceo, Limited Partner, Managing Director, Ccocontrol
        since 03/2005 · owns 25% to 50%
      • F•••••••• D••••• W••••••• · Managing Membercontrol
        since 03/2005 · owns 25% to 50% of Del Mar Management LLC
      • M••••••• M•••••• W•••••• · Limited Partner, Managing Director
        since 01/2006 · owns 5% to 10%
      • T••••• J•••••• R•••••• F••••••••• · Limited Partner, Managing Director
        since 03/2005 · owns 5% to 10%
      • W••••••••• P••••• A••• · Limited Partner, Managing Director
        since 12/2007 · owns 10% to 25%
      Entity owners
      • D•• M•• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list D•• M•• A•••• M••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 7
        Sep 17, 2014 to Mar 19, 2015
      • Assets in custody · $460M to $210M
        Sep 17, 2014 to Mar 19, 2015
      • Private funds · 3 to 2
        Sep 17, 2014 to Mar 19, 2015
      • Discretionary RAUM · $460M to $213M
        Sep 17, 2014 to Mar 19, 2015
      • RAUM · $460M to $213M
        Sep 17, 2014 to Mar 19, 2015
      • Accounts · 12 to 11
        Dec 11, 2013 to Mar 31, 2014
      • Advisory employees · 8 to 6
        Dec 11, 2013 to Mar 31, 2014
      • Advisory activities · 1 to 2
        Dec 11, 2013 to Mar 31, 2014
      • Assets in custody · $552M to $460M
        Dec 11, 2013 to Mar 31, 2014
      • Custody of client assets · true to false
        Dec 11, 2013 to Mar 31, 2014
      • Employees · 15 to 10
        Dec 11, 2013 to Mar 31, 2014
      • Discretionary RAUM · $552M to $460M
        Dec 11, 2013 to Mar 31, 2014
      • RAUM · $552M to $460M
        Dec 11, 2013 to Mar 31, 2014
      • Accounts · 13 to 12
        Jul 20, 2012 to Mar 27, 2013
      • Advisory employees · unset to 8.0
        Jul 20, 2012 to Mar 27, 2013
      • Assets in custody · $656M to $552M
        Jul 20, 2012 to Mar 27, 2013
      • Employees · unset to 15.0
        Jul 20, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Jul 20, 2012 to Mar 27, 2013
      • Private funds · 4 to 3
        Jul 20, 2012 to Mar 27, 2013
      • Discretionary RAUM · $2.9B to $552M
        Jul 20, 2012 to Mar 27, 2013
      • RAUM · $2.9B to $552M
        Jul 20, 2012 to Mar 27, 2013
      • Discretionary RAUM · $660M to $2.9B
        Feb 10, 2012 to May 2, 2012
      • RAUM · $660M to $2.9B
        Feb 10, 2012 to May 2, 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