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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Former SEC-registered adviser
D•••••• C••••• H•••••••• L••
Latest filing Mar 15, 2019
First filing on the tape Feb 10, 2012 · 18 filings
RAUM
$733M
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
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$633M gross assets
History
18 filings and snapshots on the tape
RAUM$733M as of Mar 15, 2019
Mar 7, 2013$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2019
Mar 7, 20130 then
Employees (5.A)12 as of Mar 15, 2019
Mar 7, 201313 then
Private funds4 as of Mar 15, 2019
Mar 7, 20135 then
RAUM -23% over the last fiscal year-15% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 15, 2019; 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
- $183MderivedRAUM 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
- -23%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $633M, 4 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)
- 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
- Pooled investment vehicles$733M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $633M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• C••••• P••••••• 2•••• L• | Private Equity Fund | $517M | 69 | Mar 18, 2015 |
| D•• V•••• C••••••••• P••••••• | Private Equity Fund | $107M | 13 | Mar 18, 2015 |
| D•••••• C••••• P••••••• I•• L•no longer reported | Private Equity Fund | $21.8M | 156 | Feb 10, 2012 |
| D•••••• C••••• P••••••• 2••• A•• ••••••••• L• | Private Equity Fund | $13.1M | 25 | Mar 18, 2015 |
| D•••••• C••••• P••••••• I•••• L•••no longer reported | Private Equity Fund | $8.3M | 17 | Feb 10, 2012 |
| D••• H•••••••• P••••••• L• | Private Equity Fund | $7.1M | 1 | Mar 29, 2017 |
| D•••••• C••••• P••••••• 2••• A•• •••••••• L• | Private Equity Fund | $3.1M | 44 | Mar 18, 2015 |
| D•• 2••• D••• L•••••• F•••• L• | Private Equity Fund | $1.8M | 30 | Mar 18, 2015 |
| D••• L•••••• F•••• L•••no longer reported | Private Equity Fund | $292,122 | 53 | Feb 10, 2012 |
| D•• I• E•••••••• B•••• F•••• L•••no longer reported | Private Equity Fund | $158,753 | 29 | Feb 10, 2012 |
| D•• I••• E•••••••• B•••• F•••• L•••no longer reported | Private Equity Fund | $6,000 | 1 | Feb 10, 2012 |
| D•••••• C••••• P••••••• 2••• A•• •••• L•no longer reported | Private Equity Fund | $0 | 54 | Mar 18, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A••• J•••• · Managing Membercontrolsince 09/2007 · owns 25% to 50%
- D•••••• W••••••• J• · Cfo, Ccocontrolsince 07/2013 · owns less than 5%
- R•••••• M••••••• W•••••• · Managing Membercontrolsince 08/2004 · owns 25% to 50%
- R•••• A•••••• H•••• · Managing Membercontrolsince 09/2007 · owns 25% to 50%
Related persons
Schedule D 7.A
- D•• P••••••• G••••• L••pooled vehicle sponsorn
- D••• H•••••••• P••••••• G•• L•pooled vehicle sponsorn
- D•• 2••• G••••• L••pooled vehicle sponsorn
- D•• 2••• G•• L•••pooled vehicle sponsorn
- D•• V•••• C••••••••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 4Sep 13, 2018 to Mar 15, 2019
- Pooled vehicle clients · 6 to 4Sep 13, 2018 to Mar 15, 2019
- Assets in custody · $849M to $633MSep 13, 2018 to Mar 15, 2019
- Other offices · 1 to 0Sep 13, 2018 to Mar 15, 2019
- Private funds · 6 to 4Sep 13, 2018 to Mar 15, 2019
- Discretionary RAUM · $0 to $733MSep 13, 2018 to Mar 15, 2019
- Non-discretionary RAUM · $950M to $0Sep 13, 2018 to Mar 15, 2019
- Pooled vehicle RAUM · $950M to $733MSep 13, 2018 to Mar 15, 2019
- RAUM · $950M to $733MSep 13, 2018 to Mar 15, 2019
- Accounts · 7 to 6Aug 15, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Aug 15, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Aug 15, 2017 to Mar 27, 2018
- HNW clients · unset to 0.0Aug 15, 2017 to Mar 27, 2018
- Individual clients · unset to 0.0Aug 15, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Aug 15, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 6.0Aug 15, 2017 to Mar 27, 2018
- Assets in custody · unset to 848705569.0Aug 15, 2017 to Mar 27, 2018
- Custody of client assets · false to trueAug 15, 2017 to Mar 27, 2018
- Financial planning clients · unset to 1-10Aug 15, 2017 to Mar 27, 2018
- Other offices · unset to 1.0Aug 15, 2017 to Mar 27, 2018
- Private funds · 7 to 6Aug 15, 2017 to Mar 27, 2018
- Discretionary RAUM · $1.3B to $0Aug 15, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $0 to $950MAug 15, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 949947738.0Aug 15, 2017 to Mar 27, 2018
- RAUM · $1.3B to $950MAug 15, 2017 to Mar 27, 2018
- Accounts · 6 to 7Jun 13, 2016 to Mar 29, 2017
- Advisory employees · 12 to 10Jun 13, 2016 to Mar 29, 2017
- Employees · 14 to 12Jun 13, 2016 to Mar 29, 2017
- Private funds · 6 to 7Jun 13, 2016 to Mar 29, 2017
- Discretionary RAUM · $1.2B to $1.3BJun 13, 2016 to Mar 29, 2017
- RAUM · $1.2B to $1.3BJun 13, 2016 to Mar 29, 2017
- Discretionary RAUM · $1.2B to $1.2BMar 30, 2016 to Jun 13, 2016
- RAUM · $1.2B to $1.2BMar 30, 2016 to Jun 13, 2016
- Advisory employees · 11 to 12Nov 12, 2015 to Mar 30, 2016
- Employees · 12 to 14Nov 12, 2015 to Mar 30, 2016
- Discretionary RAUM · $1.2B to $1.2BNov 12, 2015 to Mar 30, 2016
- RAUM · $1.2B to $1.2BNov 12, 2015 to Mar 30, 2016
- Accounts · 9 to 6Jul 2, 2015 to Nov 12, 2015
- Private funds · 11 to 6Jul 2, 2015 to Nov 12, 2015
- Discretionary RAUM · $1.3B to $1.2BJul 2, 2015 to Nov 12, 2015
Signals
1 dated events
- D•••••• C••••• H•••••••• L•• reported RAUM $949.9M, down 25% from $1.3B (2017-08-15 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- D•••••• C••••• H•••••••• L•• · Private Equityshared crd · organization
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
- Former SEC-registered adviserderiveda 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