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 Feb 20, 2026
First filing on the tape Jan 27, 2012 · 11 filings
SEC status approved since Mar 10, 2021
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$213M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$226M as of Feb 20, 2026
Jan 27, 2012$38.5M then
HNW client RAUM$196M as of Feb 20, 2026
Mar 22, 2022$112M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Jan 27, 20120 then
Employees (5.A)4 as of Feb 20, 2026
Mar 22, 20223 then
Private funds: no history
RAUM +26% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $720,814derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$196M87%
- Individuals$17.1M7.6%
- Pension and profit-sharing plans$6.7M3.0%
- Corporations and businesses$5.1M2.3%
- Charitable organizations$944,4170.4%
- Individual clients
- 62reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 313reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• B•••• D•••••Chartered Financial Analyst | San Diego, Ca | Feb 2, 2011 | 29 y | 3 |
| K••••• N••••• K••••Certified Financial Planner | San Diego, Ca | Apr 28, 2011 | 15 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
- C••••••••• B•••• D••••• from C••• W••••• M••••••••• L••Feb 2, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••••••• B•••• · Managing Member/Chief Compliance Officercontrolsince 01/2011 · owns 75% or more
- K••••• K•••••• N••••• · Membersince 01/2011 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 286 to 313Oct 9, 2025 to Feb 20, 2026
- Corporate clients · 7 to 6Oct 9, 2025 to Feb 20, 2026
- HNW clients · 31 to 38Oct 9, 2025 to Feb 20, 2026
- Individual clients · 60 to 62Oct 9, 2025 to Feb 20, 2026
- Discretionary RAUM · $179M to $226MOct 9, 2025 to Feb 20, 2026
- HNW RAUM · $139M to $196MOct 9, 2025 to Feb 20, 2026
- Individual RAUM · $18.8M to $17.1MOct 9, 2025 to Feb 20, 2026
- Pension RAUM · $5.7M to $6.7MOct 9, 2025 to Feb 20, 2026
- RAUM · $179M to $226MOct 9, 2025 to Feb 20, 2026
- Financial planning clients · 11-25 to 11-25Feb 25, 2025 to Mar 7, 2025
- Accounts · 253 to 286Feb 22, 2024 to Feb 25, 2025
- Advisory employees · 3 to 4Feb 22, 2024 to Feb 25, 2025
- Corporate clients · 6 to 7Feb 22, 2024 to Feb 25, 2025
- HNW clients · 29 to 31Feb 22, 2024 to Feb 25, 2025
- Individual clients · 53 to 60Feb 22, 2024 to Feb 25, 2025
- Assets in custody · 5262211.0 to unsetFeb 22, 2024 to Feb 25, 2025
- Custody of client assets · true to falseFeb 22, 2024 to Feb 25, 2025
- Employees · 3 to 4Feb 22, 2024 to Feb 25, 2025
- Financial planning clients · 1-10 to 11-25Feb 22, 2024 to Feb 25, 2025
- Discretionary RAUM · $159M to $179MFeb 22, 2024 to Feb 25, 2025
- HNW RAUM · $121M to $139MFeb 22, 2024 to Feb 25, 2025
- Individual RAUM · $16.6M to $18.8MFeb 22, 2024 to Feb 25, 2025
- Pension RAUM · $5.1M to $5.7MFeb 22, 2024 to Feb 25, 2025
- RAUM · $159M to $179MFeb 22, 2024 to Feb 25, 2025
- Accounts · 235 to 253Mar 7, 2023 to Feb 22, 2024
- Advisory employees · 2 to 3Mar 7, 2023 to Feb 22, 2024
- Corporate clients · 5 to 6Mar 7, 2023 to Feb 22, 2024
- HNW clients · 26 to 29Mar 7, 2023 to Feb 22, 2024
- Individual clients · 50 to 53Mar 7, 2023 to Feb 22, 2024
- Assets in custody · $3.9M to $5.3MMar 7, 2023 to Feb 22, 2024
- Employees · 2 to 3Mar 7, 2023 to Feb 22, 2024
- Discretionary RAUM · $140M to $159MMar 7, 2023 to Feb 22, 2024
- HNW RAUM · $106M to $121MMar 7, 2023 to Feb 22, 2024
- Individual RAUM · $15.6M to $16.6MMar 7, 2023 to Feb 22, 2024
- Pension RAUM · $4.4M to $5.1MMar 7, 2023 to Feb 22, 2024
- RAUM · $140M to $159MMar 7, 2023 to Feb 22, 2024
- Accounts · 225 to 235Mar 22, 2022 to Mar 7, 2023
- Advisory employees · 3 to 2Mar 22, 2022 to Mar 7, 2023
- Corporate clients · unset to 5.0Mar 22, 2022 to Mar 7, 2023
- HNW clients · 27 to 26Mar 22, 2022 to Mar 7, 2023
Signals
1 dated events
- D••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 8, 2021 · First SEC registration · 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/d'arcy-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- D••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-461-4391reportedpublic record, Form ADV, Feb 20, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026