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•••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 13, 2012 · 23 filings
SEC status approved since Mar 13, 2012
RAUM
$1.7B
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
15
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.7B as of Mar 30, 2026
Mar 28, 2013$449M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)15 as of Mar 30, 2026
Mar 28, 201323 then
Private funds12 as of Mar 30, 2026
Mar 28, 20136 then
RAUM +3.5% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $118MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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
- +3.5%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
- $1.7B, 13 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Charitable organizations$1.8M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7B for 13 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
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• C•••••• S••••••••• V• L• | Hedge Fund | $314M | 167 | Mar 29, 2019 |
| D••••••••• C••••• S••••••••• V•• L••• | Hedge Fund | $285M | 186 | Mar 28, 2024 |
| D••••••••• C••••• S••••••••• ••••••• V•• L••• | Hedge Fund | $259M | 18 | Mar 28, 2024 |
| D••••••••• C•••••• S••••••••• O••••••• V• L• | Hedge Fund | $222M | 17 | Mar 29, 2019 |
| D••••••••• C•••••• S••••••••• O••••••• I•• L••• | Hedge Fund | $134M | 24 | Mar 30, 2016 |
| D••••••••• C•••••• C••••• O••••••••• O•••••••• L• | Hedge Fund | $120M | 4 | Mar 28, 2013 |
| D••••••••• C•••••• S••••••••• I•• L••• | Hedge Fund | $76.9M | 102 | Mar 30, 2016 |
| C• O•• 2• L•• | Hedge Fund | $15.8M | 2 | Mar 30, 2023 |
| D••••••••• C•••••• S••••••••• L•••no longer reported | Private Equity Fund | $10.0M | 3 | Feb 13, 2012 |
| D••••••••• C•••••• S••••••••• O••••••• I••• L• | Hedge Fund | $8.3M | 1 | Mar 31, 2014 |
| D••••••••• C•••••• S••••••••• I••• L• | Hedge Fund | $5.0M | 1 | Mar 31, 2014 |
| D••••••••• S••••• O••••••••• I•• L••• | Private Equity Fund | $2.8M | 23 | Feb 13, 2012 |
| D••••••••• C•••••• S••••••••• I•• S••• L••no longer reported | Hedge Fund | $2.5M | 2 | Dec 19, 2018 |
| D••••••••• P•••••• E••••• I• L••• | Private Equity Fund | $2.3M | 3 | Feb 13, 2012 |
| D••••••••• S••• L••no longer reported | Hedge Fund | $493,000 | 1 | Mar 29, 2012 |
| D••••••••• C•••••• S••••••••• O••••••• M••••• V• L•no longer reported | Hedge Fund | $100,000 | 2 | Mar 30, 2020 |
| D••••••••• A• P•••••••• L•no longer reported | Private Equity Fund | $0 | 0 | Feb 13, 2012 |
| D••••••••• C•••••• P•••••••• L•no longer reported | Hedge Fund | $0 | 0 | Dec 23, 2011 |
| D••••••••• C•••••• S••••••••• I•• L•••no longer reported | Hedge Fund | $0 | 47 | Feb 13, 2012 |
| D••••••••• A•••• C•••• R••••••••• L••no longer reported | Hedge Fund | $0 | 1 | Mar 31, 2015 |
| T••••• S••••• T••••••••• P••••••• F•••• L•••no longer reported | Hedge Fund | $0 | 1 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••• T••••• · Chief Compliance Officercontrolsince 02/2004 · owns 5% to 10%
- K•••••• S••••••• · Chief Operating Officercontrolsince 10/2014 · owns 5% to 10%
- K••••• M•••••• · Director Of Researchcontrolsince 07/2021 · owns 5% to 10%
- Z•••••• M•••• S••••• · Membercontrolsince 10/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list D••••••••• C•••••• A•••••••• L•• as a related person
- 131454 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $1.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- Advisory employees · 12 to 11Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $1.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- Employees · 16 to 15Mar 31, 2025 to Mar 30, 2026
- Private funds · 13 to 12Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.7M to $1.8MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- Accounts · 13 to 14Jul 10, 2024 to Mar 31, 2025
- Advisory employees · 11 to 12Jul 10, 2024 to Mar 31, 2025
- Pooled vehicle clients · 12 to 13Jul 10, 2024 to Mar 31, 2025
- Assets in custody · $1.4B to $1.6BJul 10, 2024 to Mar 31, 2025
- Employees · 15 to 16Jul 10, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 10, 2024 to Mar 31, 2025
- Private funds · 12 to 13Jul 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.2M to $1.6BJul 10, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.4B to $4.7MJul 10, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $1.6BJul 10, 2024 to Mar 31, 2025
- RAUM · $1.4B to $1.6BJul 10, 2024 to Mar 31, 2025
- Advisory employees · 10 to 11Mar 30, 2023 to Mar 28, 2024
- Charity clients · 1.0 to unsetMar 30, 2023 to Mar 28, 2024
- Pension plan clients · 1.0 to unsetMar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 11 to 12Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $1.1B to $1.4BMar 30, 2023 to Mar 28, 2024
- Employees · 14 to 15Mar 30, 2023 to Mar 28, 2024
- Private funds · 10 to 12Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $7.7M to $8.2MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.1B to $1.4BMar 30, 2023 to Mar 28, 2024
- Pension RAUM · 0.0 to unsetMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.1B to $1.4BMar 30, 2023 to Mar 28, 2024
- RAUM · $1.1B to $1.4BMar 30, 2023 to Mar 28, 2024
- Accounts · 10 to 13Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 9 to 10Mar 31, 2022 to Mar 30, 2023
- Charity clients · unset to 1.0Mar 31, 2022 to Mar 30, 2023
- Pension plan clients · unset to 1.0Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 9 to 11Mar 31, 2022 to Mar 30, 2023
- Employees · 13 to 14Mar 31, 2022 to Mar 30, 2023
- Private funds · 9 to 10Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $0 to $7.7MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.1B to $1.1BMar 31, 2022 to Mar 30, 2023
Signals
3 dated events
- D••••••••• C•••••• A•••••••• L•• reported RAUM $1.4B, up 33% from $1.1B (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Matthew Kuhns (Director Of Research) appeared on Schedule A of D••••••••• C•••••• A•••••••• L••Mar 31, 2022 · Control person joined · fact
- D••••••••• C•••••• A•••••••• L•• reported RAUM $1.1B, up 29% from $834.8M (2020-01-09 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- D••••••••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- D••••••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/910339/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- D•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-402-5090reportedpublic record, Form ADV, Mar 30, 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