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 3, 2026
First filing on the tape Mar 28, 2012 · 21 filings
SEC status approved since Jan 5, 2011
RAUM
$361M
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
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$361M as of Mar 3, 2026
Mar 28, 2012$73.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Mar 27, 20130 then
Employees (5.A)12 as of Mar 3, 2026
Mar 27, 201334 then
Private funds: no history
RAUM +1.0% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 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
- $180MderivedRAUM 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
- +1.0%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$361M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• D••••• M•••••• · Chief Investment Officercontrolsince 12/1995 · owns less than 5%
- M•••••• P••••••• J••••• · Chief Operating Officercontrolsince 04/2008 · owns less than 5%
- O••••••• M••••••• A••• · Chief Financial Officercontrolsince 05/2003 · owns less than 5%
- A•••••••• A•••••••• M•• · Shareholdercontrolsince 12/2003 · owns 75% or more of C••••• P•••• H•••••• A•
- K•••••••• D••••• M•••••• · Shareholdercontrolsince 07/1988 · owns 75% or more of D••••••• Capital Management Ltd.
- P••••••• L•••••• K••••••• · Chief Compliance Officersince 02/2017 · owns less than 5%
- T•••••• G•••••• J• · Trusteesince 02/2013 · owns 25% to 50% of D•••• M• K••••••• 2••• T••••
Entity owners
- D••• H••••••• I•• · Memberdirect · owns 25% to 50%
- D••••••• C•••••• M••••••••• L••• · Memberdirect · owns 50% to 75%
- C••••• P•••• H•••••• A• · Shareholderindirect · owns 75% or more of D••• H••••••• I••
- D•••• M• K••••••• 2••• T•••• · Ownerindirect · owns 25% to 50% of D••••••• C•••••• M••••••••• L•••
- D•••• M• K••••••• T•••• · Indirect Ownerindirect · owns 25% to 50% of D••••••• C•••••• M••••••••• L•••
Related persons
Schedule D 7.A
- D•• B••••••• L••broker-dealery
- E•• C•••••• A•••••••• L••investment adviserbanknRAUM $305M
Advisers that list D••••••• C•••••• M••••••••• L•• as a related person
- 169296 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $357M to $361MMar 11, 2025 to Mar 3, 2026
- RAUM · $357M to $361MMar 11, 2025 to Mar 3, 2026
- Accounts · 1 to 2Mar 8, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Mar 8, 2024 to Mar 11, 2025
- Discretionary RAUM · $0 to $357MMar 8, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $457M to $0Mar 8, 2024 to Mar 11, 2025
- RAUM · $457M to $357MMar 8, 2024 to Mar 11, 2025
- BD registered reps · 7 to 8Mar 14, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $760M to $457MMar 14, 2023 to Mar 8, 2024
- RAUM · $760M to $457MMar 14, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $486M to $760MMar 28, 2022 to Mar 14, 2023
- RAUM · $486M to $760MMar 28, 2022 to Mar 14, 2023
- Employees · 11 to 12Aug 16, 2021 to Mar 28, 2022
- Discretionary RAUM · $340M to $0Aug 16, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $0 to $486MAug 16, 2021 to Mar 28, 2022
- RAUM · $340M to $486MAug 16, 2021 to Mar 28, 2022
- BD registered reps · 6 to 7Mar 24, 2020 to Mar 24, 2021
- Discretionary RAUM · $0 to $340MMar 24, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $208M to $0Mar 24, 2020 to Mar 24, 2021
- RAUM · $208M to $340MMar 24, 2020 to Mar 24, 2021
- BD registered reps · 7 to 6Mar 26, 2019 to Mar 24, 2020
- Discretionary RAUM · $193M to $0Mar 26, 2019 to Mar 24, 2020
- Non-discretionary RAUM · $0 to $208MMar 26, 2019 to Mar 24, 2020
- RAUM · $193M to $208MMar 26, 2019 to Mar 24, 2020
- Accounts · 3 to 1Mar 29, 2018 to Mar 26, 2019
- Advisory employees · 5 to 4Mar 29, 2018 to Mar 26, 2019
- BD registered reps · 15 to 7Mar 29, 2018 to Mar 26, 2019
- Employees · 21 to 11Mar 29, 2018 to Mar 26, 2019
- Discretionary RAUM · $532M to $193MMar 29, 2018 to Mar 26, 2019
- RAUM · $532M to $193MMar 29, 2018 to Mar 26, 2019
- Accounts · 4 to 3Feb 28, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Feb 28, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Feb 28, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Feb 28, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Feb 28, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Feb 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Feb 28, 2017 to Mar 29, 2018
- Employees · 22 to 21Feb 28, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Feb 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $398M to $532MFeb 28, 2017 to Mar 29, 2018
Signals
7 dated events
- D••••••• C•••••• M••••••••• L•• reported RAUM $457.1M, down 40% from $760.2M (2023-03-14 to 2024-03-08)Mar 8, 2024 · RAUM change · derived
- D••••••• C•••••• M••••••••• L•• reported RAUM $760.2M, up 56% from $486.0M (2022-03-28 to 2023-03-14)Mar 14, 2023 · RAUM change · derived
- D••••••• C•••••• M••••••••• L•• reported RAUM $486.0M, up 43% from $340.3M (2021-08-16 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- D••••••• C•••••• M••••••••• L•• reported RAUM $340.3M, up 64% from $207.9M (2020-03-24 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- D••••••• C•••••• M••••••••• L•• reported RAUM $193.2M, down 64% from $532.4M (2018-03-29 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- D••••••• C•••••• M••••••••• L•• reported RAUM $532.4M, up 34% from $398.5M (2017-02-28 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- K•••••••• I••••••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 2, 2013 · Succession (Item 4) · fact
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/grantparkfundsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-756-4450reportedpublic record, Form ADV, Mar 3, 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