DFX Intelligence
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SEC-registered adviser
D•••• C•••••• A•••••••• L••
Latest filing Sep 18, 2026
First filing on the tape Sep 22, 2025 · 3 filings
SEC status approved since Sep 25, 2025
RAUM
$46.9M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
96%
$44.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$46.9M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$46.9M as of Mar 31, 2026
Sep 22, 2025$41.8M then
HNW client RAUM$38.3M as of Mar 31, 2026
Sep 22, 2025$37.1M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Sep 22, 20251 then
Employees (5.A)2 as of Mar 31, 2026
Sep 22, 20252 then
Private funds1 as of Mar 31, 2026
Sep 22, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $46.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $503,878derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 40%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $46.2MreportedItem 5.I
- Custody
- $619,426, 1 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$38.3M82%
- Individuals$6.6M14%
- Corporations and businesses$1.4M3.0%
- Pooled investment vehicles$619,4261.3%
- Individual clients
- 32reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 93reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $619,426 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.01 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• M••••••• D•••• | New York, Ny | May 27, 2022 | 35 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• E•••• M••••••• · Managing Member & Chief Executive Officer & Chief Compliance Officercontrolsince 09/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Sep 18, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-31, yes on the filing of 2026-09-18peers: independent wealth managers, under $100M (708)
What changed
consecutive filings, newest first
- Assets in custody · unset to 619426.0Mar 31, 2026 to Sep 18, 2026
- Custody of client assets · false to trueMar 31, 2026 to Sep 18, 2026
- Employees · 2 to 3Mar 31, 2026 to Sep 18, 2026
- Financial planning clients · to unsetMar 31, 2026 to Sep 18, 2026
- Private funds · 1 to unsetMar 31, 2026 to Sep 18, 2026
- Succession · false to unsetMar 31, 2026 to Sep 18, 2026
- Wrap assets (manager) · $46.9M to $0Mar 31, 2026 to Sep 18, 2026
- Wrap assets (sponsor) · $46.9M to $0Mar 31, 2026 to Sep 18, 2026
- Accounts · 96 to 93Sep 22, 2025 to Mar 31, 2026
- HNW clients · 43 to 26Sep 22, 2025 to Mar 31, 2026
- Individual clients · 21 to 32Sep 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $15.4M to $18.5MSep 22, 2025 to Mar 31, 2026
- HNW RAUM · $37.1M to $38.3MSep 22, 2025 to Mar 31, 2026
- Individual RAUM · $2.6M to $6.6MSep 22, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $26.3M to $28.3MSep 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $593,931 to $619,426Sep 22, 2025 to Mar 31, 2026
- RAUM · $41.8M to $46.9MSep 22, 2025 to Mar 31, 2026
- Wrap assets (manager) · $41.8M to $46.9MSep 22, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $41.8M to $46.9MSep 22, 2025 to Mar 31, 2026
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.
How to reach
public business contact points only, each with its source
- Business phone
- 212-796-8440reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-796-8445reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- D••••CAPITALADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-796-8440reportedpublic record, Form ADV, Sep 18, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $46.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026