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•••••••• M••••••••• C••••••
Legal name D•••••••• M••••••••• C••••••• L•••
Latest filing Jul 31, 2026
First filing on the tape Feb 10, 2012 · 42 filings
SEC status approved since Mar 30, 2012
RAUM
$19B
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
189
89 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$19B as of Jul 31, 2026
Mar 28, 2013$4.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 31, 2026
Mar 28, 20130 then
Employees (5.A)189 as of Jul 31, 2026
Mar 28, 201361 then
Private funds12 as of Jul 31, 2026
Mar 28, 201311 then
RAUM +19% over the last fiscal year+8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 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
- $1.6BderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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 pooled vehiclesreportedItem 5.G
- Custody
- $19B, 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
- 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)
- 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$19B100%
- 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
- $19B for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••••• P•••••••• L••• | Hedge Fund | $6.2B | 171 | Feb 10, 2012 |
| D•••••••• P•••••• D••••• F••• I•• L••• | Hedge Fund | $3.7B | 203 | Feb 28, 2017 |
| D•••••••• P•••••• D••••• F••• I••• L••• | Hedge Fund | $1.8B | 152 | Aug 12, 2014 |
| D•••••••• I••••••••• L••••••no longer reported | Hedge Fund | $1.5B | 34 | Feb 10, 2012 |
| D•••••••• H••••••••• I••••••••• F•••• L••• | Hedge Fund | $1.5B | 124 | Oct 28, 2015 |
| D•••••••• P•••••• D••••• F••• V• L••• | Hedge Fund | $1.5B | 95 | Nov 24, 2020 |
| D•••••••• I••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $1.3B | 27 | Mar 28, 2013 |
| D•••••••• H••••••••• I••••••••• F••• I•• L••• | Hedge Fund | $882M | 96 | Aug 29, 2019 |
| D•••••••• H••••••••• I••••••••• F••• I••• L••• | Hedge Fund | $334M | 36 | Feb 20, 2024 |
| D•••••••• S•••••• S••••••••• I••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $314M | 15 | Mar 28, 2013 |
| D•••••••• P•••••• D••••• I••••••••• L••••••no longer reported | Hedge Fund | $168M | 16 | Feb 10, 2012 |
| D•••••••• S•••••• S••••••••• F••• I••••••••• L••••••no longer reported | Hedge Fund | $151M | 14 | Feb 10, 2012 |
| D•••••••• P•••••• D••••• F••• I•• L••• | Hedge Fund | $118M | 62 | Feb 10, 2012 |
| D•••••••• P•••••• D••••• I••••••••• I•• L••• | Hedge Fund | $113M | 42 | Mar 28, 2013 |
| D•••••••• P•••••• D••••• I••••••••• I•• L••••••no longer reported | Hedge Fund | $69.7M | 40 | Feb 10, 2012 |
| D•••••••• P•• F•••••••• I•• L••• | Private Equity Fund | $21.8M | 42 | Mar 28, 2013 |
| P•• I•••••••• T•••• I•no longer reported | Private Equity Fund | $17.9M | 40 | Feb 10, 2012 |
| D•••••••• S•••••• S••••••••• F•••• L•••no longer reported | Hedge Fund | $17.3M | 74 | Feb 10, 2012 |
| D•••••••• H••••••••• I••••••••• F••• I••••• L••• | Hedge Fund | $15.9M | 5 | Feb 20, 2024 |
| D•••••••• P•• F••••••••• L•••no longer reported | Private Equity Fund | $5.1M | 12 | Feb 10, 2012 |
| D•••••••• P•••••• D••••• I••••••••• L•••no longer reported | Hedge Fund | $608,761 | 15 | Mar 28, 2013 |
| D•••••••• P•••••• D••••• F•••• L•••no longer reported | Hedge Fund | $473,430 | 37 | Feb 10, 2012 |
| P•• I•••••••• M••••• T•••• I•no longer reported | Private Equity Fund | $50,000 | 40 | Mar 28, 2013 |
| P•• I•••••••• T•••• I•no longer reported | Private Equity Fund | $0 | 40 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••• J••••• · General Counselcontrolsince 01/2011 · owns less than 5%
- F••••• J••••• E••••• · Presidentcontrolsince 01/2005 · owns 75% or more
- I••••• J•••••••• D•••• · Chief Financial Officer, Fundscontrolsince 07/2012 · owns less than 5%
- S••••••••• B••••• S•••• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- S•••••••• R•••••• T••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- F••••• J••••• E••••• · Sole Membercontrolsince 01/2005 · owns 75% or more of F•••• M••••••••• L••
Entity owners
- F•••• M••••••••• L•• · General Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- D•••••••• M••• H•• I•• L•••pooled vehicle sponsorn
- D•••••••• M••• H•• I••• L•••pooled vehicle sponsorn
- D•••••••• M••• H••• L•••pooled vehicle sponsorn
- D•••••••• M••• I••• L•••pooled vehicle sponsorn
- D•••••••• M••• I•• L•••pooled vehicle sponsorn
- D•••••••• M••• V• L•••pooled vehicle sponsorn
- D•••••••• M•••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Parsippany, NJ4 employees
What changed
consecutive filings, newest first
- Private funds · 11 to 12Mar 26, 2026 to Jul 31, 2026
- Advisory employees · 90 to 89Jul 23, 2025 to Mar 26, 2026
- Assets in custody · $16B to $19BJul 23, 2025 to Mar 26, 2026
- Employees · 183 to 189Jul 23, 2025 to Mar 26, 2026
- Discretionary RAUM · $16B to $19BJul 23, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $16B to $19BJul 23, 2025 to Mar 26, 2026
- RAUM · $16B to $19BJul 23, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 23, 2025
- Legal name · D•••••••• M••••••••• C••••••• L••• SERIES C to D•••••••• M••••••••• C••••••• L•••Mar 28, 2025 to Jul 23, 2025
- Assets in custody · $16B to $16BMar 28, 2024 to Mar 28, 2025
- Employees · 178 to 183Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $16B to $16BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $16B to $16BMar 28, 2024 to Mar 28, 2025
- RAUM · $16B to $16BMar 28, 2024 to Mar 28, 2025
- Accounts · 10 to 12Feb 20, 2024 to Mar 28, 2024
- Advisory employees · 117 to 90Feb 20, 2024 to Mar 28, 2024
- Pooled vehicle clients · 10 to 12Feb 20, 2024 to Mar 28, 2024
- Assets in custody · $15B to $16BFeb 20, 2024 to Mar 28, 2024
- Employees · 175 to 178Feb 20, 2024 to Mar 28, 2024
- Discretionary RAUM · $15B to $16BFeb 20, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $15B to $16BFeb 20, 2024 to Mar 28, 2024
- RAUM · $15B to $16BFeb 20, 2024 to Mar 28, 2024
- Private funds · 9 to 11May 31, 2023 to Feb 20, 2024
- Advisory employees · 101 to 117Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $16B to $15BMar 30, 2022 to Mar 31, 2023
- Employees · 148 to 175Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $16B to $15BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $16B to $15BMar 30, 2022 to Mar 31, 2023
- RAUM · $16B to $15BMar 30, 2022 to Mar 31, 2023
- Accounts · 11 to 10Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 107 to 101Mar 31, 2021 to Mar 30, 2022
- Pooled vehicle clients · 11 to 10Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $17B to $16BMar 31, 2021 to Mar 30, 2022
- Employees · 151 to 148Mar 31, 2021 to Mar 30, 2022
- Other offices · 2 to 1Mar 31, 2021 to Mar 30, 2022
- Private funds · 10 to 9Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $17B to $16BMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $17B to $16BMar 31, 2021 to Mar 30, 2022
- RAUM · $17B to $16BMar 31, 2021 to Mar 30, 2022
- Accounts · 10 to 11Jan 26, 2021 to Mar 31, 2021
Signals
9 dated events
- Lyia Marian Brancaccio (Chief Compliance Officer) no longer on Schedule A of D•••••••• M••••••••• C•••••• (listed 2023-03-31, absent 2023-05-31)May 31, 2023 · Control person left · inference
- Todd Robert Snetiker (Chief Compliance Officer) appeared on Schedule A of D•••••••• M••••••••• C••••••May 31, 2023 · Control person joined · fact
- Scott Bryan Sendrowski (Chief Financial Officer) appeared on Schedule A of D•••••••• M••••••••• C••••••Mar 31, 2023 · Control person joined · fact
- A••••• C••• (Chief Operating Officer) no longer on Schedule A of D•••••••• M••••••••• C•••••• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- D•••••••• M••••••••• C•••••• reported RAUM $16.9B, up 48% from $11.4B (2021-01-26 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Thomas Alexander Karnal (Managing Director, Portfolio Manager) no longer on Schedule A of D•••••••• M••••••••• C•••••• (listed 2021-01-11, absent 2021-01-26)Jan 26, 2021 · Control person left · inference
- Thomas Alexander Karnal (Managing Director, Portfolio Manager) appeared on Schedule A of D•••••••• M••••••••• C••••••Mar 30, 2020 · Control person joined · fact
- A••••• C••• (Managing Director) appeared on Schedule A of D•••••••• M••••••••• C••••••Mar 30, 2020 · Control person joined · fact
- Arnone Karen Noy (Chief Administrative Officer) no longer on Schedule A of D•••••••• M••••••••• C•••••• (listed 2019-08-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- D•••••••• M••••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- D•••••••• M••••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- D••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-551-1600reportedpublic record, Form ADV, Jul 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026