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 31, 2026
First filing on the tape Feb 14, 2012 · 37 filings
SEC status approved since Mar 16, 2012
RAUM
$5.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$2.6B
derived; firm RAUM over IAPD count
Employees
29
25 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
9
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$5.3B as of Mar 31, 2026
Mar 28, 2013$6.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)29 as of Mar 31, 2026
Mar 28, 201358 then
Private funds9 as of Mar 31, 2026
Mar 28, 20137 then
RAUM -8.0% over the last fiscal year-6.1% 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
- $2.6BderivedRAUM 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
- $439MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 14.5derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $5.3B, 12 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
- 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)
- 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
- Pooled investment vehicles$3.2B62%
- Insurance companies$2.0B38%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.3B for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.62 institutional_share=0.38 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 |
|---|---|---|---|---|
| R••• Q•••• S•••••• | Houston, Tx | May 19, 2015 | 22 y | 0 |
| C••• J••• T•••••• | Houston, Tx | May 19, 2015 | 46 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
- J••••• T•••• M•••• to T•••• C•••••• M••••••••• L•Nov 28, 2022 · Other
Joined, latest
none on the tape
Private funds
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••• C•••••••• P••••••• F••• V• L• | Hedge Fund | $1.7B | 257 | Feb 14, 2012 |
| D••••• M••••• F••• L• | Hedge Fund | $849M | 31 | Mar 31, 2017 |
| D••••• C•••••••• P••••••• F••• V• L• | Hedge Fund | $562M | 175 | Feb 14, 2012 |
| R•• E••••• I••••••••• H••••••• L•• | Other Private Fund | $266M | 12 | Jan 26, 2016 |
| D••••• I••••••••• P•••• S••• | Hedge Fund | $263M | 24 | Feb 26, 2018 |
| D••••• I• C••••••••• F••• L• | Hedge Fund | $143M | 70 | Feb 13, 2019 |
| D••••• C•••••••• P••••••• F••• V••• L• | Hedge Fund | $135M | 35 | Feb 14, 2012 |
| D••••• S••••••••• I••••••••• F••• I• L• | Hedge Fund | $130M | 4 | Feb 27, 2023 |
| D••• V• O•• A•• G•• C••••••••• F••• L• | Hedge Fund | $121M | 54 | Feb 26, 2014 |
| D••••• C•••••••• P••••••• F••• I• L•no longer reported | Hedge Fund | $83.9M | 4 | Feb 14, 2012 |
| D••••• C•••••••• P••••••• F••• I•• L•no longer reported | Hedge Fund | $49.0M | 2 | Feb 14, 2012 |
| P••••••• R•••••••• P•••••••• H••••••• L•• | Other Private Fund | $45.7M | 4 | Feb 27, 2023 |
| D••••• C•••••••• P••••••• F••• I• L•no longer reported | Hedge Fund | $3.0M | 73 | Feb 14, 2012 |
| D••••• C•••••••• P••••••• F••• L•no longer reported | Hedge Fund | $0 | 0 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••• A••••••• T••••• · Chief Compliance Officer Of D••••• C•••••• M••••••••• L•controlsince 01/2023 · owns less than 5%
- M•••••• S••••• G••••• · Managing Partner Of D••••• C•••••• M••••••••• L•controlsince 07/2007 · owns 10% to 25%
- P•••••• S•••••• D••••• · Chief Executive Officer Of D••••• C•••••• M••••••••• L•controlsince 07/2007 · owns 25% to 50%
- T••••••• C•••• J••• · Managing Partner Of D••••• C•••••• M••••••••• L•controlsince 07/2007 · owns 10% to 25%
- V••••• W••••••• J••• · Chief Financial Officer Of D••••• C•••••• M••••••••• L•controlsince 08/2022 · owns less than 5%
- P•••••• S•••••• D••••• · Membercontrolsince 02/2007 · owns 75% or more of D••••• C•••••• M••••••••• G• L••
Entity owners
- D••••• C•••••• M••••••••• G• L•• · General Partner Of D••••• C•••••• M••••••••• L•direct · owns less than 5%
Related persons
Schedule D 7.A
- D••• V• G• O•• L•investment adviserpooled vehicle sponsorn
- D••••• C•••••• A•••••••• P•• L••investment advisery
- D••••• C•••••• M••••••••• ••• L••investment advisery
- D••••• C•••••••• P••••••• G• V• L•investment adviserpooled vehicle sponsorn
- D••••• C•••••••• P••••••• G• V• L•investment adviserpooled vehicle sponsorn
- D••••• I••••••••• P•••• G••• S•••investment adviserpooled vehicle sponsorn
- D••••• I• C••••••••• F••• G• L•investment adviserpooled vehicle sponsorn
- D••••• M••••• G• L•investment adviserpooled vehicle sponsorn
- D••••• S••••••••• I•••• I• G• L•investment adviserpooled vehicle sponsorn
- I•••••• P••••••• R•••••••• P••••• L••investment adviserpooled vehicle sponsorn
- T•••• C•••••• M••••••••• L•investment advisernRAUM $1.7B
Advisers that list D••••• C•••••• M••••••••• L• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Jersey City, NJ11 employees
- London, United Kingdom4 employees
- Toronto, Canada3 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 38% against a peer median of 0% (684 comparable advisers, 100.0th percentile, 13.0 robust deviations)peers: asset managers, $5B to $20B (684) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 13 to 12Nov 13, 2025 to Mar 31, 2026
- Assets in custody · $5.7B to $5.3BNov 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.7B to $5.3BNov 13, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.8B to $3.2BNov 13, 2025 to Mar 31, 2026
- RAUM · $5.7B to $5.3BNov 13, 2025 to Mar 31, 2026
- Accounts · 14 to 13Mar 31, 2025 to May 28, 2025
- Pooled vehicle clients · 10 to 9Mar 31, 2025 to May 28, 2025
- Financial planning clients · unset to Mar 31, 2025 to May 28, 2025
- Private funds · 10 to 9Mar 31, 2025 to May 28, 2025
- Advisory employees · 26 to 25Oct 11, 2024 to Mar 31, 2025
- Assets in custody · $6.1B to $5.7BOct 11, 2024 to Mar 31, 2025
- Employees · 30 to 29Oct 11, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.1B to $5.7BOct 11, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.2B to $3.8BOct 11, 2024 to Mar 31, 2025
- RAUM · $6.1B to $5.7BOct 11, 2024 to Mar 31, 2025
- Other offices · 5 to 4Mar 30, 2024 to Oct 11, 2024
- Accounts · 12 to 14Sep 12, 2023 to Mar 30, 2024
- Assets in custody · $3.3B to $6.1BSep 12, 2023 to Mar 30, 2024
- Employees · 34 to 30Sep 12, 2023 to Mar 30, 2024
- Other offices · 4 to 5Sep 12, 2023 to Mar 30, 2024
- Discretionary RAUM · $6.4B to $6.1BSep 12, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $4.4B to $4.2BSep 12, 2023 to Mar 30, 2024
- RAUM · $6.4B to $6.1BSep 12, 2023 to Mar 30, 2024
- Other offices · 5 to 4Mar 31, 2023 to Sep 8, 2023
- Accounts · 13 to 12Feb 27, 2023 to Mar 31, 2023
- Advisory employees · 40 to 26Feb 27, 2023 to Mar 31, 2023
- Assets in custody · $3.5B to $3.3BFeb 27, 2023 to Mar 31, 2023
- Employees · 60 to 34Feb 27, 2023 to Mar 31, 2023
- Discretionary RAUM · $5.8B to $6.4BFeb 27, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $4.4B to $4.4BFeb 27, 2023 to Mar 31, 2023
- RAUM · $5.8B to $6.4BFeb 27, 2023 to Mar 31, 2023
- Accounts · 14 to 13Jan 13, 2023 to Feb 27, 2023
- Pooled vehicle clients · 11 to 10Jan 13, 2023 to Feb 27, 2023
- Assets in custody · $4.1B to $3.5BJan 13, 2023 to Feb 27, 2023
- Private funds · 8 to 10Jan 13, 2023 to Feb 27, 2023
- Discretionary RAUM · $7.5B to $5.8BJan 13, 2023 to Feb 27, 2023
- Pooled vehicle RAUM · $5.5B to $4.4BJan 13, 2023 to Feb 27, 2023
- RAUM · $7.5B to $5.8BJan 13, 2023 to Feb 27, 2023
- Private funds · 11 to 8Mar 31, 2022 to Nov 21, 2022
- Accounts · 11 to 14Nov 3, 2021 to Mar 31, 2022
Signals
10 dated events
- Michael Paul Winters (Chief Compliance Officer Of D••••• C•••••• M••••••••• L•) no longer on Schedule A of D••••• C•••••• M••••••••• L• (listed 2023-02-27, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- T••••• A•••••• F•••• (Chief Compliance Officer Of D••••• C•••••• M••••••••• L•) appeared on Schedule A of D••••• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- J••••• T•••• M•••• left D••••• C•••••• M••••••••• L• for T•••• C•••••• M••••••••• L• (registered 2022-07-06)Nov 28, 2022 · Advisor changed firm · fact
- Patrick J••• Collins (Partner And Chief Financial Officer Of D••••• C•••••• M••••••••• L•) no longer on Schedule A of D••••• C•••••• M••••••••• L• (listed 2022-03-31, absent 2022-11-21)Nov 21, 2022 · Control person left · inference
- Tatum Jordan Marye (Managing Partner Of D••••• C•••••• M••••••••• L•) no longer on Schedule A of D••••• C•••••• M••••••••• L• (listed 2022-03-31, absent 2022-11-21)Nov 21, 2022 · Control person left · inference
- J••• W•••••• V•••• (Chief Financial Officer Of D••••• C•••••• M••••••••• L•) appeared on Schedule A of D••••• C•••••• M••••••••• L•Nov 21, 2022 · Control person joined · fact
- H••••• B••••••• (Manager) no longer on Schedule A of D••••• C•••••• M••••••••• L• (listed 2021-11-03, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- G••••• R••••• S•••• (Manager) no longer on Schedule A of D••••• C•••••• M••••••••• L• (listed 2021-11-03, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- A••••••• K••• (Manager) no longer on Schedule A of D••••• C•••••• M••••••••• L• (listed 2021-11-03, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- D••••• C•••••• M••••••••• L• reported RAUM $7.5B, up 58% from $4.8B (2021-11-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- D••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- D•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-531-7200reportedpublic 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
- $2.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026