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•••••• L••
Latest filing Apr 7, 2022
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$53.4M
reported, Item 5.F
Discretionary
98%
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
8
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$53.4M gross assets
History
24 filings and snapshots on the tape
RAUM$53.4M as of Apr 7, 2022
Mar 30, 2012$641M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 7, 2022
Mar 28, 20130 then
Employees (5.A)8 as of Apr 7, 2022
Mar 28, 201319 then
Private funds6 as of Apr 7, 2022
Mar 30, 20127 then
RAUM +5.2% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 2022; 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
- $8.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%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
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$53.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•• S••••• M••••• V•••• C•• I• L•••no longer reported | Securitized Asset Fund | $284M | 30 | Mar 30, 2012 |
| L•••••••• L••• C••••• ••••••• L•••no longer reported | Hedge Fund | $82.3M | 3 | Mar 30, 2012 |
| J•• A••••• F••• L•••no longer reported | Other Private Fund | $29.8M | 15 | Mar 31, 2014 |
| S••••• S••••• G••••• O••••••••• ••••••• L••• | Hedge Fund | $28.0M | 5 | Mar 31, 2014 |
| D• B••••• O••••••••• F••• •••••••• L•no longer reported | Hedge Fund | $25.6M | 7 | Mar 31, 2017 |
| S••••• S••••• •••••••• L•••no longer reported | Hedge Fund | $20.2M | 3 | Mar 30, 2012 |
| D• A•••••••• R••••••• F••• L•no longer reported | Hedge Fund | $12.5M | 13 | Feb 27, 2015 |
| A•••• R••• C••••••• L• | Hedge Fund | $11.3M | 14 | Mar 30, 2012 |
| M• R••••••• V•••• L••no longer reported | Hedge Fund | $7.1M | 1 | Mar 31, 2017 |
| M• R••••••• V•••• L•• | Hedge Fund | $5.6M | 1 | Mar 30, 2020 |
| D• R••••••• V•••• N• L•• | Hedge Fund | $5.3M | 1 | Mar 30, 2020 |
| D• R••••••• V•••• N• L••no longer reported | Hedge Fund | $5.2M | 1 | Mar 31, 2017 |
| L•••••••• S••••• C••••• •••••••• L•••no longer reported | Hedge Fund | $4.6M | 35 | Mar 30, 2012 |
| P••• V••• C••••• •••••••• L•••no longer reported | Hedge Fund | $2.9M | 51 | Mar 30, 2012 |
| D• V•••••••• O••••••••• F••• •••••••• L• | Hedge Fund | $2.1M | 12 | Mar 29, 2018 |
| D••••••••• A•••• S••••••••• F••• | Hedge Fund | $1.1M | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• N•••••• A••• · Managing Partnercontrolsince 10/2004 · owns less than 5%
- A••••• N•••••• A••• · Limited Partnercontrolsince 04/2015 · owns 75% or more of D• C•••••••• L• • N• S•••••
- S•••••• R••••• · Chief Compliance Officersince 11/2020 · owns less than 5%
Entity owners
- D• M••••••••• L• · Managing Memberdirect · owns 75% or more
- D• C•••••••• G• L•• · General Partnerindirect · owns F of D• C•••••••• L• • N• S•••••
- D• C•••••••• L• • N• S••••• · Limited Partnerindirect · owns 75% or more of D• M••••••••• L•
- D• M••••••••• G• L•• · General Partnerindirect · owns F of D• M••••••••• L•
Related persons
Schedule D 7.A
- A•••• R••• H••••••• L••pooled vehicle sponsory
- A•••• R••• P••••••• L••pooled vehicle sponsory
- D• V•••••••• H•••••••• L••pooled vehicle sponsory
- D• V•••••••• O••••••••• F••• G• L••pooled vehicle sponsory
- S••••• S••••• G••••• O••••••••• H••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Singapore, Singapore2 employees
What changed
consecutive filings, newest first
- Employees · 9 to 8Mar 27, 2021 to Apr 7, 2022
- Discretionary RAUM · $49.7M to $52.3MMar 27, 2021 to Apr 7, 2022
- Non-discretionary RAUM · $1.1M to $1.1MMar 27, 2021 to Apr 7, 2022
- Pooled vehicle RAUM · $50.8M to $53.4MMar 27, 2021 to Apr 7, 2022
- RAUM · $50.8M to $53.4MMar 27, 2021 to Apr 7, 2022
- Accounts · 11 to 6Nov 24, 2020 to Mar 27, 2021
- Pooled vehicle clients · 11 to 6Nov 24, 2020 to Mar 27, 2021
- Assets in custody · $85.2M to $0Nov 24, 2020 to Mar 27, 2021
- Employees · 11 to 9Nov 24, 2020 to Mar 27, 2021
- Discretionary RAUM · $115M to $49.7MNov 24, 2020 to Mar 27, 2021
- Non-discretionary RAUM · $0 to $1.1MNov 24, 2020 to Mar 27, 2021
- Pooled vehicle RAUM · $115M to $50.8MNov 24, 2020 to Mar 27, 2021
- RAUM · $115M to $50.8MNov 24, 2020 to Mar 27, 2021
- Private funds · 7 to 6Mar 30, 2020 to Nov 24, 2020
- Accounts · 16 to 11Mar 29, 2019 to Mar 30, 2020
- Advisory employees · 9 to 7Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 16 to 11Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $85.9M to $85.2MMar 29, 2019 to Mar 30, 2020
- Employees · 12 to 11Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $120M to $115MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $120M to $115MMar 29, 2019 to Mar 30, 2020
- RAUM · $120M to $115MMar 29, 2019 to Mar 30, 2020
- Accounts · 9 to 16Jul 20, 2018 to Mar 29, 2019
- Advisory employees · 10 to 9Jul 20, 2018 to Mar 29, 2019
- Pooled vehicle clients · 9 to 16Jul 20, 2018 to Mar 29, 2019
- Assets in custody · $98.7M to $85.9MJul 20, 2018 to Mar 29, 2019
- Employees · 13 to 12Jul 20, 2018 to Mar 29, 2019
- Private funds · 9 to 7Jul 20, 2018 to Mar 29, 2019
- Discretionary RAUM · $124M to $120MJul 20, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $1.1M to $0Jul 20, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $125M to $120MJul 20, 2018 to Mar 29, 2019
- RAUM · $125M to $120MJul 20, 2018 to Mar 29, 2019
- Assets in custody · $100M to $98.7MMar 29, 2018 to Jul 20, 2018
- Discretionary RAUM · $124M to $124MMar 29, 2018 to Jul 20, 2018
- Pooled vehicle RAUM · $125M to $125MMar 29, 2018 to Jul 20, 2018
- RAUM · $125M to $125MMar 29, 2018 to Jul 20, 2018
- Accounts · 8 to 9Mar 31, 2017 to Mar 29, 2018
- Advisory employees · 8 to 10Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 9.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $112M to $100MMar 31, 2017 to Mar 29, 2018
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