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.

Former SEC-registered adviser

Carlyle Liquid Market Solutions

Former SEC-registered adviserToronto, CRD 139680SEC 801-66469IAPD
Legal name Diversified Global Asset Management Corporation
Latest filing Apr 18, 2016
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$6.3B
reported, Item 5.F
Discretionary
35%
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
18
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
9
$1.5B gross assets
History
15 filings and snapshots on the tape
RAUM$6.3B as of Mar 30, 2016
Mar 30, 2012$5.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 30, 20120 then
Employees (5.A)18 as of Mar 30, 2016
Apr 19, 201335 then
Private funds9 as of Mar 30, 2016
Mar 30, 20124 then
RAUM +5.7% over the last fiscal year+5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 18, 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
$285MderivedRAUM over accounts (5.F.2.f)
Discretionary
35%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
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
  • 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)
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
22reported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Dgam Diversified Strategies FundHedge Fund$619M10Mar 30, 2012
      Dgam Unique Strategies Erisa FundHedge Fund$249M7Mar 30, 2012
      Buckingham FundHedge Fund$204M1Apr 19, 2013
      Carlyle Liquid Tactical Master Fund LPHedge Fund$156M45Mar 30, 2015
      Carlyle Trend Following Master FundHedge Fund$118M14Mar 30, 2015
      Dgam Opportunities Master FundHedge Fund$42.7M1Apr 19, 2013
      Carlyle Active Commodities Master FundHedge Fund$38.9M1Mar 30, 2016
      Dgam Unique Strategies Master FundHedge Fund$16.6M6Mar 30, 2012
      Dgam Ng Unique Strategies FundHedge Fund$15.9M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Lauren Dillard · Chairman, Directorcontrol
        since 12/2015 · owns less than 5%
      • Iain Prentice George Main · Ceo, Directorcontrol
        since 11/2005 · owns less than 5%
      • Edward Bruce Rosenblum · Directorcontrol
        since 12/2014 · owns less than 5%
      • Michele Moscaritolo · Chief Financial Officer
        since 04/2011 · owns less than 5%
      • Deborah Lisa Shostack · Managing Director, General Counsel & Cco
        since 04/2011 · owns less than 5%
      Entity owners
      • Carlyle Maple Leaf Holdings, U.L.C. · Shareholder
        direct · owns 75% or more
      • Carlyle Group Management L.L.C. · General Partner
        indirect · owns F of The Carlyle Group L.P.
      • Carlyle Holdings III Gp L.P. · Member
        indirect · owns 75% or more of Carlyle Holdings III Gp Sub L.L.C.
      • Carlyle Holdings III Gp Management L.L.C. · General Partner
        indirect · owns F of Carlyle Holdings III Gp L.P.
      • Carlyle Holdings III Gp Sub L.L.C. · General Partner
        indirect · owns F of Carlyle Holdings III L.P.
      • Carlyle Holdings III L.P. · General Partner
        indirect · owns F of Tc Group Caymen L.P.
      • Carlyle Maple Leaf Holdings (Cayman), L.P. · Shareholder
        indirect · owns 75% or more of Carlyle Maple Leaf Holdings, U.L.C.
      • Carlyle Maple Leaf Holdings (Cayman), Ltd. · General Partner
        indirect · owns F of Carlyle Maple Leaf Holdings (Cayman), L.P.
      • Tc Group Cayman, L.P. · Shareholder
        indirect · owns 75% or more of Carlyle Maple Leaf Holdings (Cayman), Ltd.
      • Tc Group Cayman, L.P. · Limited Partner
        indirect · owns 75% or more of Carlyle Maple Leaf Holdings (Cayman), L.P.
      • The Carlyle Group L.P. · Member
        indirect · owns 75% or more of Carlyle Holdings III Gp Management L.L.C. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 28 to 22
        Jan 29, 2016 to Mar 30, 2016
      • Advisory employees · 20 to 6
        Jan 29, 2016 to Mar 30, 2016
      • Employees · 42 to 18
        Jan 29, 2016 to Mar 30, 2016
      • Private funds · 8 to 9
        Jan 29, 2016 to Mar 30, 2016
      • Discretionary RAUM · $2.1B to $2.2B
        Jan 29, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $3.8B to $4.1B
        Jan 29, 2016 to Mar 30, 2016
      • RAUM · $5.9B to $6.3B
        Jan 29, 2016 to Mar 30, 2016
      • Business name · DGAM to CARLYLE LIQUID MARKET SOLUTIONS
        Aug 5, 2015 to Sep 28, 2015
      • Accounts · 16 to 28
        Jan 5, 2015 to Mar 30, 2015
      • Advisory employees · 19 to 20
        Jan 5, 2015 to Mar 30, 2015
      • Employees · 37 to 42
        Jan 5, 2015 to Mar 30, 2015
      • Private funds · 6 to 8
        Jan 5, 2015 to Mar 30, 2015
      • Discretionary RAUM · $2.6B to $2.1B
        Jan 5, 2015 to Mar 30, 2015
      • Non-discretionary RAUM · $4.2B to $3.8B
        Jan 5, 2015 to Mar 30, 2015
      • RAUM · $6.8B to $5.9B
        Jan 5, 2015 to Mar 30, 2015
      • Accounts · 15 to 16
        Jan 31, 2014 to Mar 3, 2014
      • Employees · 35 to 37
        Jan 31, 2014 to Mar 3, 2014
      • Organization form · Corporation to Other (specify)
        Jan 31, 2014 to Mar 3, 2014
      • Discretionary RAUM · $2.4B to $2.6B
        Jan 31, 2014 to Mar 3, 2014
      • Non-discretionary RAUM · $3.8B to $4.2B
        Jan 31, 2014 to Mar 3, 2014
      • RAUM · $6.2B to $6.8B
        Jan 31, 2014 to Mar 3, 2014
      • Related bank · false to true
        Jan 31, 2014 to Mar 3, 2014
      • Related broker-dealer · false to true
        Jan 31, 2014 to Mar 3, 2014
      • Related adviser · false to true
        Apr 19, 2013 to Jan 31, 2014
      • Accounts · 11 to 15
        May 16, 2012 to Apr 19, 2013
      • Advisory employees · unset to 19.0
        May 16, 2012 to Apr 19, 2013
      • Employees · unset to 35.0
        May 16, 2012 to Apr 19, 2013
      • Private funds · 4 to 6
        May 16, 2012 to Apr 19, 2013
      • Discretionary RAUM · $2.1B to $2.4B
        May 16, 2012 to Apr 19, 2013
      • Non-discretionary RAUM · $3.2B to $3.8B
        May 16, 2012 to Apr 19, 2013
      • RAUM · $5.3B to $6.2B
        May 16, 2012 to Apr 19, 2013
      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