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•••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jan 19, 2012 · 40 filings
SEC status approved since Dec 23, 2009
RAUM
$93B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$514M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
258
89 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$93B as of Mar 31, 2026
Jan 19, 2012$21B then
HNW client RAUM$514M as of Mar 31, 2026
Mar 29, 2018$603M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 29, 20130 then
Employees (5.A)258 as of Mar 31, 2026
Jan 29, 201380 then
Private funds8 as of Mar 31, 2026
Jan 19, 20121 then
RAUM +3.6% over the last fiscal year+0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $129MderivedHNW RAUM over HNW clients
- Average account
- $702MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%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
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $450M, 3 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$66B71%
- Pooled investment vehicles$7.8B8.4%
- State and municipal entities$7.4B8.0%
- Pension and profit-sharing plans$3.7B3.9%
- Charitable organizations$2.2B2.4%
- Corporations and businesses$2.0B2.2%
- Insurance companies$1.6B1.7%
- Sovereign wealth funds$1.1B1.2%
- Banks and thrifts$987M1.1%
- High-net-worth individuals$514M0.6%
- Individual clients
- 0reported
- HNW clients
- 4reported
- Pension plan clients
- 15reported
- Charitable clients
- 6reported
- Accounts
- 133reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $450M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.79 institutional_share=0.17 related_bd=false related_bank=true bd_reps=38.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• O••••••••• I••••• M••••• F••• L• | Hedge Fund | $1.2B | 376 | Jan 19, 2012 |
| D••••••••• S••••••••• I••••• P•••••••• A• S••••• O• D••••••••• I••••••••• F•••• L•• | Other Private Fund | $1.0B | 20 | Mar 29, 2019 |
| D••••••••• L•••••••• M••••• F••• L•no longer reported | Hedge Fund | $602M | 365 | Sep 20, 2012 |
| D••••••••• M••••••• O••••••••• M••••• F••• L• | Hedge Fund | $372M | 39 | Sep 22, 2017 |
| D••••••••• C••• P••• P•••••••• A• S••••• O• D••••••••• I••••••••• F•••• L•• | Other Private Fund | $321M | 21 | Sep 22, 2017 |
| D••••••••• O••••••••• C••••••• F•••• L•• | Hedge Fund | $53.2M | 105 | Feb 20, 2015 |
| D••••••••• C•• F•••••• L•• | Hedge Fund | $53.2M | 1 | May 13, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C••••• H••••• V••• · Chief Financial Officer; Executive Committee Membercontrolsince 01/2013 · owns less than 5%
- E•••• J•••• L•••• · Chief Human Resources Officer; Executive Committee Membercontrolsince 08/2020 · owns less than 5%
- G•••• Y••••• E•••••• · Chief Compliance Officer; Executive Committee Membercontrolsince 03/2018 · owns less than 5%
- G•••••••• J••••••• E••••• · Chief Executive Officer; Chief Investment Officer; Director; Executive Committee Membercontrolsince 12/2009 · owns 25% to 50%
- L••••••• E•••• A•••• · General Counsel; Executive Committee Membercontrolsince 04/2010 · owns less than 5%
- M••••• C••••• L•• · Chief Technology Officer; Executive Committee Membercontrolsince 12/2009 · owns less than 5%
- R•••••• R•••••• R••••• · Director Of Global Relationship Management; Executive Committee Membercontrolsince 02/2012 · owns less than 5%
- S•••• A•• I••• C••• · Chief Risk Officer; Executive Committee Membercontrolsince 02/2010 · owns less than 5%
- S••••••• J••••••• J••• · Deputy Chief Investment Officer; Executive Committee Membercontrolsince 04/2016 · owns less than 5%
- T••••••• P••••••• A•••• · Chief Operating Officer; Executive Committee Membercontrolsince 03/2018 · owns less than 5%
- V•• E••••• B••••••• R••• · Chief M•••Eting Officer; Executive Committee Membercontrolsince 12/2009 · owns less than 5%
Entity owners
- D••••••••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
- O•••••• C•••••• G•••• H•••••••• L••• · Limited Partnerindirect · owns 75% or more of O•••••• C•••••• I•• L•••
- O•••••• C•••••• I•• L••• · Limited Partnerindirect · owns 75% or more of O•••••• F••• G• I•• L•••
- O•••••• F••• G• I•• L••• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA105 employees
- Glendale, CA
What changed
consecutive filings, newest first
- Accounts · 141 to 133Aug 11, 2025 to Mar 31, 2026
- Advisory employees · 90 to 89Aug 11, 2025 to Mar 31, 2026
- BD registered reps · 35 to 38Aug 11, 2025 to Mar 31, 2026
- Charity clients · 7 to 6Aug 11, 2025 to Mar 31, 2026
- Corporate clients · 4 to 3Aug 11, 2025 to Mar 31, 2026
- Pension plan clients · 17 to 15Aug 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 31 to 27Aug 11, 2025 to Mar 31, 2026
- Assets in custody · $1.1B to $450MAug 11, 2025 to Mar 31, 2026
- Employees · 264 to 258Aug 11, 2025 to Mar 31, 2026
- Private funds · 6 to 8Aug 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $90B to $93BAug 11, 2025 to Mar 31, 2026
- HNW RAUM · $465M to $514MAug 11, 2025 to Mar 31, 2026
- Pension RAUM · $3.8B to $3.7BAug 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.3B to $7.8BAug 11, 2025 to Mar 31, 2026
- RAUM · $90B to $93BAug 11, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Apr 11, 2025 to Aug 11, 2025
- Accounts · 146 to 141Nov 6, 2024 to Apr 11, 2025
- Advisory employees · 103 to 90Nov 6, 2024 to Apr 11, 2025
- BD registered reps · 33 to 35Nov 6, 2024 to Apr 11, 2025
- Corporate clients · 5 to 4Nov 6, 2024 to Apr 11, 2025
- HNW clients · 5 to 4Nov 6, 2024 to Apr 11, 2025
- Pension plan clients · 18 to 17Nov 6, 2024 to Apr 11, 2025
- Assets in custody · $1.6B to $1.1BNov 6, 2024 to Apr 11, 2025
- Other offices · 2 to 1Nov 6, 2024 to Apr 11, 2025
- Discretionary RAUM · $93B to $90BNov 6, 2024 to Apr 11, 2025
- HNW RAUM · $414M to $465MNov 6, 2024 to Apr 11, 2025
- Pension RAUM · $4.3B to $3.8BNov 6, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · $9.5B to $8.3BNov 6, 2024 to Apr 11, 2025
- RAUM · $93B to $90BNov 6, 2024 to Apr 11, 2025
- Accounts · 151 to 146Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 105 to 103Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 41 to 33Mar 31, 2023 to Mar 28, 2024
- Charity clients · 6 to 7Mar 31, 2023 to Mar 28, 2024
- HNW clients · 6 to 5Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 30 to 31Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $2.1B to $1.6BMar 31, 2023 to Mar 28, 2024
- Employees · 284 to 264Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $91B to $93BMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $418M to $414MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $3.8B to $4.3BMar 31, 2023 to Mar 28, 2024
Signals
10 dated events
- D••••••••• C•••••• L• reported RAUM $91.2B, down 32% from $133.9B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Ann Leticia Acosta (Director Of Human Resources; Executive Committee Member) no longer on Schedule A of D••••••••• C•••••• L• (listed 2020-06-30, absent 2020-08-18)Aug 18, 2020 · Control person left · inference
- Lynea Joan Elam (Director Of Human Resources; Executive Committee Member) appeared on Schedule A of D••••••••• C•••••• L•Aug 18, 2020 · Control person joined · fact
- Alan Philip Barach (President; Limited Partner) no longer on Schedule A of D••••••••• C•••••• L• (listed 2020-03-30, absent 2020-04-30)Apr 30, 2020 · Control person left · inference
- Alan Philip Barach (President; Limited Partner) appeared on Schedule A of D••••••••• C•••••• L•Apr 16, 2019 · Control person joined · fact
- Charles Louis Lucido (Senior Advisor; Executive Committee Member) no longer on Schedule A of D••••••••• C•••••• L• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Alan Philip Barach (President; Executive Committee Member) no longer on Schedule A of D••••••••• C•••••• L• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- John Joseph Galligan (Executive Vice President; Executive Committee Member) no longer on Schedule A of D••••••••• C•••••• L• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Elpidio Ignacio Sosa (Director Of Product Solutions Group; Executive Committee Member) no longer on Schedule A of D••••••••• C•••••• L• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Wayne Mark Christensen (Portfolio Manager; Executive Committee Member) no longer on Schedule A of D••••••••• C•••••• L• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · 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/D•••••••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- D•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 813-791-7333reportedpublic record, Form ADV, Mar 31, 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