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•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 2, 2012 · 24 filings
SEC status approved since Feb 28, 2006
RAUM
$503M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$503M as of Mar 30, 2026
Apr 2, 2012$851M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 2, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Apr 1, 20138 then
Private funds6 as of Mar 30, 2026
Apr 2, 20123 then
RAUM -15% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $83.9MderivedRAUM 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
- -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 pooled vehiclesreportedItem 5.G
- Custody
- $503M, 6 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$503M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $503M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••• S•••••• S•••••••• P••••••• I• L• | Private Equity Fund | $222M | 20 | Mar 31, 2016 |
| S•••••• S•••••••• P••••••• I• L• | Private Equity Fund | $195M | 58 | Apr 2, 2012 |
| D••• O••••••••• I• L• | Private Equity Fund | $85.5M | 4 | Mar 25, 2019 |
| D••• S•••••• S•••••••• P••••••• I•• L• | Private Equity Fund | $83.3M | 38 | Apr 2, 2012 |
| E•• U••••••• H•••••••• L•• ••• D••• O••••••••• I•• L••• | Private Equity Fund | $49.9M | 7 | Mar 29, 2023 |
| D••• O••••••••• I• L•• | Private Equity Fund | $29.2M | 7 | Mar 25, 2020 |
| D••• S•••••• S•••••••• P••••••• I••• L• | Private Equity Fund | $27.7M | 16 | Mar 31, 2016 |
| P•• S•••••• S•••••••• P•••••••• L•••no longer reported | Private Equity Fund | $566,304 | 19 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••••• S•••••••• E•••• · Vp Of Finance, Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- V••••••• S••••• E••••• · Chief Executive Officer/Managing Membercontrolsince 04/2005 · owns 75% or more
Related persons
Schedule D 7.A
- D••• O••••••••• I• G• L•pooled vehicle sponsory
- D••• S•••••• S•••••••• I••••••••• I•• L••pooled vehicle sponsory
- D••• S•••••• S•••••••• I••••••••• I• L•pooled vehicle sponsory
- D••• S•••••• S•••••••• I••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Sep 11, 2025 to Mar 30, 2026
- Assets in custody · $590M to $503MSep 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $590M to $503MSep 11, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $590M to $503MSep 11, 2025 to Mar 30, 2026
- RAUM · $590M to $503MSep 11, 2025 to Mar 30, 2026
- Accounts · 7 to 6Mar 31, 2024 to Mar 27, 2025
- Pooled vehicle clients · 7 to 6Mar 31, 2024 to Mar 27, 2025
- Assets in custody · $693M to $590MMar 31, 2024 to Mar 27, 2025
- Employees · 8 to 6Mar 31, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 31, 2024 to Mar 27, 2025
- Private funds · 7 to 6Mar 31, 2024 to Mar 27, 2025
- Discretionary RAUM · $693M to $590MMar 31, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $693M to $590MMar 31, 2024 to Mar 27, 2025
- RAUM · $693M to $590MMar 31, 2024 to Mar 27, 2025
- Advisory employees · 5 to 4Mar 29, 2023 to Mar 31, 2024
- Assets in custody · $725M to $693MMar 29, 2023 to Mar 31, 2024
- Employees · 9 to 8Mar 29, 2023 to Mar 31, 2024
- Discretionary RAUM · $725M to $693MMar 29, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $725M to $693MMar 29, 2023 to Mar 31, 2024
- RAUM · $725M to $693MMar 29, 2023 to Mar 31, 2024
- Accounts · 6 to 7Mar 30, 2022 to Mar 29, 2023
- Pooled vehicle clients · 6 to 7Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $692M to $725MMar 30, 2022 to Mar 29, 2023
- Employees · 10 to 9Mar 30, 2022 to Mar 29, 2023
- Private funds · 6 to 7Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $692M to $725MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $692M to $725MMar 30, 2022 to Mar 29, 2023
- RAUM · $692M to $725MMar 30, 2022 to Mar 29, 2023
- Advisory employees · 7 to 5Mar 29, 2021 to Mar 30, 2022
- Assets in custody · $557M to $692MMar 29, 2021 to Mar 30, 2022
- Employees · 11 to 10Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $557M to $692MMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $557M to $692MMar 29, 2021 to Mar 30, 2022
- RAUM · $557M to $692MMar 29, 2021 to Mar 30, 2022
- Accounts · 7 to 6Mar 25, 2020 to Mar 29, 2021
- Advisory employees · 6 to 7Mar 25, 2020 to Mar 29, 2021
- Pooled vehicle clients · 7 to 6Mar 25, 2020 to Mar 29, 2021
- Assets in custody · $491M to $557MMar 25, 2020 to Mar 29, 2021
- Employees · 10 to 11Mar 25, 2020 to Mar 29, 2021
- Private funds · 7 to 6Mar 25, 2020 to Mar 29, 2021
Signals
2 dated events
- E•••• S••••••• L••••••• (Vp Of Finance, Chief Compliance Officer) appeared on Schedule A of D••• C•••••• M••••••••• L••Mar 31, 2024 · Control person joined · fact
- Kim Joseph Peters (Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of D••• C•••••• M••••••••• L•• (listed 2023-03-29, absent 2024-03-31)Mar 31, 2024 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- D••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- D••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/drum-capital-management-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- D•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-391-7540reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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