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

T•• D•••• G••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159749SEC 801-72917IAPD
Latest filing Nov 5, 2021
First filing on the tape Nov 21, 2011 · 24 filings
RAUM
$324M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$292M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$324M as of Mar 30, 2021
May 8, 2012$25.5M then
HNW client RAUM$283M as of Mar 30, 2021
Mar 28, 2018$141M then
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Apr 1, 20130 then
Employees (5.A)7 as of Mar 30, 2021
Apr 1, 20135 then
Private funds: no history
RAUM +26% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 5, 2021; 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
$5.3MderivedHNW RAUM over HNW clients
Average account
$3.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
10.0%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
+26%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
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)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$283M87%
  • Pension and profit-sharing plans$32.3M10.0%
  • Individuals$9.0M2.8%
Individual clients
38reported
HNW clients
53reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
93reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• M•••• S••••• · Managing Membercontrol
    since 11/2011 · owns less than 5%
  • D••••• M•••• S••••• · Managing Membercontrol
    since 11/2011 · owns F of D•••• M••••••••• G••••• L••
  • D••••• M•••• S••••• · Managercontrol
    since 09/2021 · owns 75% or more of K•• 2••• L••
  • M•••••• E•••• W• · Chief Compliance Officer
    since 10/2021 · owns less than 5%
Entity owners
  • D•••• M••••••••• G••••• L•• · Member
    direct · owns 75% or more
  • K•• 2••• L•• · Owner
    indirect · owns 75% or more of D•••• M••••••••• G••••• L••
Related persons
Schedule D 7.A
  • O••••• I•••••••• S•••••••• L••
    real estaten
  • T•• R••• E•••••• L••
    investment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 77 to 93
    Jul 15, 2020 to Mar 30, 2021
  • HNW clients · 45 to 53
    Jul 15, 2020 to Mar 30, 2021
  • Individual clients · 29 to 38
    Jul 15, 2020 to Mar 30, 2021
  • Discretionary RAUM · $229M to $291M
    Jul 15, 2020 to Mar 30, 2021
  • HNW RAUM · $223M to $283M
    Jul 15, 2020 to Mar 30, 2021
  • Individual RAUM · $6.9M to $9.0M
    Jul 15, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · $28.3M to $32.7M
    Jul 15, 2020 to Mar 30, 2021
  • Pension RAUM · $27.9M to $32.3M
    Jul 15, 2020 to Mar 30, 2021
  • RAUM · $258M to $324M
    Jul 15, 2020 to Mar 30, 2021
  • Accounts · 62 to 77
    Mar 29, 2019 to Mar 30, 2020
  • HNW clients · 34 to 45
    Mar 29, 2019 to Mar 30, 2020
  • Individual clients · 25 to 29
    Mar 29, 2019 to Mar 30, 2020
  • Other offices · 1 to 0
    Mar 29, 2019 to Mar 30, 2020
  • Discretionary RAUM · $186M to $229M
    Mar 29, 2019 to Mar 30, 2020
  • HNW RAUM · $172M to $223M
    Mar 29, 2019 to Mar 30, 2020
  • Individual RAUM · $14.5M to $6.9M
    Mar 29, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $25.0M to $28.3M
    Mar 29, 2019 to Mar 30, 2020
  • Pension RAUM · $24.5M to $27.9M
    Mar 29, 2019 to Mar 30, 2020
  • RAUM · $211M to $258M
    Mar 29, 2019 to Mar 30, 2020
  • Accounts · 63 to 62
    Mar 28, 2018 to Mar 29, 2019
  • HNW clients · 52 to 34
    Mar 28, 2018 to Mar 29, 2019
  • Individual clients · 9 to 25
    Mar 28, 2018 to Mar 29, 2019
  • Financial planning clients · 51-100 to 26-50
    Mar 28, 2018 to Mar 29, 2019
  • Discretionary RAUM · $142M to $186M
    Mar 28, 2018 to Mar 29, 2019
  • HNW RAUM · $141M to $172M
    Mar 28, 2018 to Mar 29, 2019
  • Individual RAUM · $2.4M to $14.5M
    Mar 28, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · $24.0M to $25.0M
    Mar 28, 2018 to Mar 29, 2019
  • Pension RAUM · $23.0M to $24.5M
    Mar 28, 2018 to Mar 29, 2019
  • RAUM · $166M to $211M
    Mar 28, 2018 to Mar 29, 2019
  • Accounts · 77 to 63
    Mar 24, 2017 to Mar 28, 2018
  • HNW clients · unset to 52.0
    Mar 24, 2017 to Mar 28, 2018
  • Individual clients · unset to 9.0
    Mar 24, 2017 to Mar 28, 2018
  • Pension plan clients · unset to 2.0
    Mar 24, 2017 to Mar 28, 2018
  • Other offices · unset to 1.0
    Mar 24, 2017 to Mar 28, 2018
  • Discretionary RAUM · $110M to $142M
    Mar 24, 2017 to Mar 28, 2018
  • HNW RAUM · unset to 140600000.0
    Mar 24, 2017 to Mar 28, 2018
  • Individual RAUM · unset to 2400000.0
    Mar 24, 2017 to Mar 28, 2018
  • Non-discretionary RAUM · $22.0M to $24.0M
    Mar 24, 2017 to Mar 28, 2018
  • Pension RAUM · unset to 23000000.0
    Mar 24, 2017 to Mar 28, 2018
  • RAUM · $132M to $166M
    Mar 24, 2017 to Mar 28, 2018
Signals
1 dated events
  • M••• S••••• D•••• left T•• D•••• G••••• L•• for C••••••• P••••••• (registered 2021-12-20)
    Mar 31, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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