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 May 4, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Jun 2, 2011
RAUM
$522M
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
11
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$522M as of May 4, 2026
Mar 30, 2012$173M then
HNW client RAUM$1.6M as of Mar 20, 2019
Mar 16, 2018$5.2M then
State-registered IARs (5.B.3)0 as of May 4, 2026
Feb 21, 20130 then
Employees (5.A)11 as of May 4, 2026
Feb 21, 20136 then
Private funds3 as of May 4, 2026
Mar 30, 20123 then
RAUM +6.6% over the last fiscal year+9.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 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
- $40.1MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%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
- yesreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$481M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D• V•••• P••••••• I• M••••• F•••• L• | Hedge Fund | $402M | 205 | Apr 1, 2013 |
| S•••••• S••••••••• L••no longer reported | Hedge Fund | $66.0M | 2 | Mar 30, 2012 |
| S•••••• S••••••••• X• L••no longer reported | Hedge Fund | $64.0M | 2 | Mar 30, 2012 |
| D• V•••• P••••••• I•• L•no longer reported | Hedge Fund | $49.0M | 35 | Feb 21, 2013 |
| D• V•••• P•••••••• L• | Hedge Fund | $42.7M | 61 | Mar 30, 2012 |
| D• S•••••• O••••••••• L•no longer reported | Hedge Fund | $12.6M | 6 | Mar 30, 2021 |
| D• C••••• O••••••••• L•no longer reported | Hedge Fund | $12.5M | 13 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- E••••••• E•••• I•• · Chief Compliance Officer, Chief Financial Officercontrolsince 01/2016 · owns less than 5%
- G••••••••• D••• N•• · Managing Membercontrolsince 04/2007 · owns 75% or more
- F•••••••• S••••• I•••• · Trusteecontrolsince 11/2021 · owns F of T•• D•• G•••••••• I••••••••• T•••• • 2•••
- P•••••• S•••••• N•• · Trusteecontrolsince 07/2014 · owns F of T•• D•• G•••••••• I••••••••• T•••• • 2•••
Entity owners
- T•• D•• G•••••••• I••••••••• T•••• • 2••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- D• C•••••• P••••••• I•• L••pooled vehicle sponsorn
- D• C•••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
- Dorado, PR1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 27, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was 0.0% (489 comparable advisers, 93.0th percentile of changes)peers: asset managers, $500M to $1B (489) · 93% percentile
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Feb 9, 2026 to Mar 27, 2026
- Pooled vehicle clients · 3 to 4Feb 9, 2026 to Mar 27, 2026
- Employees · 10 to 11Feb 9, 2026 to Mar 27, 2026
- Private funds · 2 to 3Feb 9, 2026 to Mar 27, 2026
- Discretionary RAUM · $489M to $522MFeb 9, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $452M to $481MFeb 9, 2026 to Mar 27, 2026
- RAUM · $489M to $522MFeb 9, 2026 to Mar 27, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $479M to $489MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $445M to $452MMar 27, 2024 to Mar 28, 2025
- RAUM · $479M to $489MMar 27, 2024 to Mar 28, 2025
- Related adviser · false to trueMar 27, 2024 to Mar 28, 2025
- Accounts · 12 to 13Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $398M to $479MMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $370M to $445MMar 28, 2023 to Mar 27, 2024
- RAUM · $398M to $479MMar 28, 2023 to Mar 27, 2024
- Accounts · 16 to 12Mar 29, 2022 to Mar 28, 2023
- Advisory employees · 11 to 10Mar 29, 2022 to Mar 28, 2023
- Pooled vehicle clients · 4 to 3Mar 29, 2022 to Mar 28, 2023
- Employees · 11 to 10Mar 29, 2022 to Mar 28, 2023
- Other offices · 1 to 2Mar 29, 2022 to Mar 28, 2023
- Private funds · 3 to 2Mar 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $640M to $398MMar 29, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $606M to $370MMar 29, 2022 to Mar 28, 2023
- RAUM · $640M to $398MMar 29, 2022 to Mar 28, 2023
- Related adviser · true to falseMar 29, 2022 to Mar 28, 2023
- Advisory employees · 9 to 11Jul 29, 2021 to Mar 29, 2022
- Employees · 9 to 11Jul 29, 2021 to Mar 29, 2022
- Other offices · 0 to 1Jul 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $362M to $640MJul 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $332M to $606MJul 29, 2021 to Mar 29, 2022
- RAUM · $362M to $640MJul 29, 2021 to Mar 29, 2022
- Related adviser · false to trueJul 29, 2021 to Mar 29, 2022
- Accounts · 13 to 16Feb 5, 2021 to Mar 30, 2021
- Pooled vehicle clients · 3 to 4Feb 5, 2021 to Mar 30, 2021
- Private funds · 2 to 3Feb 5, 2021 to Mar 30, 2021
- Discretionary RAUM · $315M to $362MFeb 5, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $296M to $332MFeb 5, 2021 to Mar 30, 2021
- RAUM · $315M to $362MFeb 5, 2021 to Mar 30, 2021
- Accounts · 14 to 13Mar 20, 2019 to Mar 26, 2020
Signals
4 dated events
- D• C•••••• M••••••••• L•• reported RAUM $398.1M, down 38% from $640.2M (2022-03-29 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- D• C•••••• M••••••••• L•• reported RAUM $640.2M, up 77% from $361.7M (2021-07-29 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Isaac Shawn Fischman (Trustee) appeared on Schedule A of D• C•••••• M••••••••• L••Mar 29, 2022 · Control person joined · fact
- Nmn Stuart Pollak (Trustee) appeared on Schedule A of D• C•••••• M••••••••• L••Jul 29, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- D• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- D• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- DGCAPITALMGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-942-5700reportedpublic record, Form ADV, May 4, 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