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 Sep 9, 2026
First filing on the tape Jan 20, 2012 · 23 filings
SEC status approved since Feb 2, 2012
RAUM
$6.6B
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
16
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$6.2B as of Mar 30, 2026
Apr 1, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)16 as of Mar 30, 2026
Apr 1, 20138 then
Private funds2 as of Mar 30, 2026
Apr 1, 20132 then
RAUM +0.7% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 9, 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
- $738MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%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
- -6.1%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
- 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
- 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$5.4B89%
- Pension and profit-sharing plans$696M11%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- 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=0.82 institutional_share=0.1 related_bd=false related_bank=true 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••• C•••••• P••••••• M••••• F•••• L••• | Hedge Fund | $5.6B | 112 | Jan 20, 2012 |
| D••••• C•••••• P••••••• •••••••• L•••no longer reported | Hedge Fund | $1.0B | 23 | Jan 20, 2012 |
| D••••• S•••••• O••••••••• M••••• F•••• L• | Hedge Fund | $383M | 43 | Feb 8, 2019 |
| D••••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $182M | 32 | Jan 20, 2012 |
| D••••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $15.5M | 8 | Jan 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••• C•••••••• · T•••••• - JP B•••••• And Jc B••••••, As T•••••••, Or Any S•••••••• T••••••, Of The B•••••• Family Trust, U•••• A•••••••• D•••• Ocontrolsince 10/2014 · owns 10% to 25%
- B••••••• J••••••• P••• · Chief Compliance Officer And Chief Financial Officercontrolsince 06/2009 · owns less than 5%
- F••••• R•••• D•••• · T•••••• - R••• D•••• F•••• A•• S•••••••• M•••• F••••• T••••••• O• T•• F•••• F••••• T•••• D•••• S•••••••• 2• 2•••controlsince 09/2016 · owns 50% to 75%
- F••••• S••••••••• M•••• · T•••••• - R••• D•••• F•••• A•• S•••••••• M•••• F••••• T••••••• O• T•• F•••• F••••• T•••• D•••• S•••••••• 2• 2•••controlsince 09/2016 · owns 50% to 75%
- P•••••• M••••••• L•• L••••••• · T•••••• - Y•••••• A•••••• P••••• And M•••••• Lee L••••••• P•••••, T••••••• Of The P••••• Family Trust A••••••••, D•••• May 11, 2controlsince 05/2015 · owns 10% to 25%
- P•••••• Y••••••• A•••••• · T•••••• - Y•••••• A•••••• P••••• And M•••••• Lee L••••••• P•••••, T••••••• Of The P••••• Family Trust A••••••••, D•••• May 11, 2controlsince 05/2015 · owns 10% to 25%
- B••••••• J••••• C•••••••• · T••••••controlsince 10/2014 · owns F of J• B•••••• A•• J• B••••••• A• T•••••••• O• A•• S•••••••• T••••••• O• T•• B•••••• F••••• T••••• U•••• A•••••••• D•••• O•••••• 1••
- B••••••• J••••••• P••• · T••••••controlsince 10/2014 · owns F of J• B•••••• A•• J• B••••••• A• T•••••••• O• A•• S•••••••• T••••••• O• T•• B•••••• F••••• T••••• U•••• A•••••••• D•••• O•••••• 1••
- B•••• R•••••• M••• · Limited Partnercontrolsince 08/2009 · owns 25% to 50% of F• D••••• G• I••••••••• L•
- F••••• R•••• D•••• · T••••••controlsince 09/2016 · owns F of R••• D•••• F•••• A•• S•••••••• M•••• F••••• T••••••• O• T•• F•••• F••••• T•••• D•••• S•••••••• 2• 2•••
- F••••• R•••• D•••• · Managing Membercontrolsince 01/2023 · owns 25% to 50% of D•• C••••••• L••
- F••••• S••••••••• M•••• · T••••••controlsince 09/2016 · owns F of R••• D•••• F•••• A•• S•••••••• M•••• F••••• T••••••• O• T•• F•••• F••••• T•••• D•••• S•••••••• 2• 2•••
- H•••••• J••• H••••• · Sole Member Of Managercontrolsince 06/2013 · owns 25% to 50% of F• D••••• G•••••• L••
- P•••••• M••••••• L•• L••••••• · T••••••controlsince 05/2015 · owns F of Y•••••• A•••••• P••••• A•• M•••••• L•• L••••••• P•••••• T••••••• O• T•• P••••• F••••• T•••• A••••••••• D•••• M•• 1•• 2•••
- P•••••• Y••••••• A•••••• · T••••••controlsince 05/2015 · owns F of Y•••••• A•••••• P••••• A•• M•••••• L•• L••••••• P•••••• T••••••• O• T•• P••••• F••••• T•••• A••••••••• D•••• M•• 1•• 2•••
Entity owners
- D•• C••••••• L•• · General Partnerdirect · owns less than 5%
- F• D••••• G• I••••••••• L• · Limited Partnerdirect · owns 10% to 25%
- J• B•••••• A•• J• B••••••• A• T•••••••• O• A•• S•••••••• T••••••• O• T•• B•••••• F••••• T••••• U•••• A•••••••• D•••• O•••••• 1•• · Limited Partnerdirect · owns 10% to 25%
- R••• D•••• F•••• A•• S•••••••• M•••• F••••• T••••••• O• T•• F•••• F••••• T•••• D•••• S•••••••• 2• 2••• · Limited Partnerdirect · owns 50% to 75%
- Y•••••• A•••••• P••••• A•• M•••••• L•• L••••••• P•••••• T••••••• O• T•• P••••• F••••• T•••• A••••••••• D•••• M•• 1•• 2••• · Limited Partnerdirect · owns 10% to 25%
- F• D••••• G•••••• L•• · General Partnerindirect · owns 25% to 50% of F• D••••• G• I••••••••• L•
Related persons
Schedule D 7.A
- D••••• C•••••• P••••••• G•••••• L••investment adviserpooled vehicle sponsorn
- D••••• S•••••• O••••••••• G••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 9Mar 30, 2026 to Sep 9, 2026
- Pension plan clients · unset to 1.0Mar 30, 2026 to Sep 9, 2026
- Financial planning clients · to unsetMar 30, 2026 to Sep 9, 2026
- Private funds · 2 to unsetMar 30, 2026 to Sep 9, 2026
- Discretionary RAUM · $6.2B to $6.6BMar 30, 2026 to Sep 9, 2026
- Pension RAUM · unset to 696210164.0Mar 30, 2026 to Sep 9, 2026
- Pooled vehicle RAUM · $6.2B to $5.4BMar 30, 2026 to Sep 9, 2026
- RAUM · $6.2B to $6.6BMar 30, 2026 to Sep 9, 2026
- Succession · false to unsetMar 30, 2026 to Sep 9, 2026
- Discretionary RAUM · $6.6B to $6.2BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $6.6B to $6.2BMar 31, 2025 to Mar 30, 2026
- RAUM · $6.6B to $6.2BMar 31, 2025 to Mar 30, 2026
- Financial planning clients · unset to Apr 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.0B to $6.6BApr 4, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.0B to $6.6BApr 4, 2024 to Mar 31, 2025
- RAUM · $6.0B to $6.6BApr 4, 2024 to Mar 31, 2025
- Related bank · false to trueApr 4, 2024 to Mar 31, 2025
- Advisory employees · 11 to 12Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.7B to $6.0BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.7B to $6.0BMar 31, 2023 to Mar 29, 2024
- RAUM · $4.7B to $6.0BMar 31, 2023 to Mar 29, 2024
- Business name · D••••• C•••••• M••••••••• L•• to D••••• C•••••• M••••••••• L•Feb 9, 2023 to Mar 30, 2023
- Legal name · D••••• C•••••• M••••••••• L•• to D••••• C•••••• M••••••••• L•Feb 9, 2023 to Mar 30, 2023
- Discretionary RAUM · $4.8B to $4.7BFeb 9, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $4.8B to $4.7BFeb 9, 2023 to Mar 30, 2023
- RAUM · $4.8B to $4.7BFeb 9, 2023 to Mar 30, 2023
- Organization form · Limited Liability Company to Limited PartnershipMar 31, 2022 to Feb 9, 2023
- Advisory employees · 10 to 11Mar 31, 2021 to Mar 31, 2022
- Employees · 15 to 16Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.3B to $4.8BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.3B to $4.8BMar 31, 2021 to Mar 31, 2022
- RAUM · $4.3B to $4.8BMar 31, 2021 to Mar 31, 2022
- Advisory employees · 9 to 10Mar 30, 2020 to Mar 31, 2021
- Employees · 14 to 15Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $3.8B to $4.3BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $3.8B to $4.3BMar 30, 2020 to Mar 31, 2021
- RAUM · $3.8B to $4.3BMar 30, 2020 to Mar 31, 2021
- Advisory employees · 10 to 9Mar 28, 2019 to Mar 30, 2020
- Employees · 15 to 14Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $3.4B to $3.8BMar 28, 2019 to Mar 30, 2020
Signals
7 dated events
- D••••• C•••••• M••••••••• L• reported RAUM $6.0B, up 29% from $4.7B (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Marie Stephanie Frick (Trustee - R••• D•••• F•••• A•• S•••••••• M•••• F••••• T••••••• O• T•• F•••• F••••• T•••• D•••• S•••••••• 2• 2•••) appeared on Schedule A of D••••• C•••••• M••••••••• L•Feb 9, 2023 · Control person joined · fact
- Catherine Jamie Barnett (Trustee - Jp Barnett And Jc Barnett, As Trustees, Or Any Successor Trustee, Of The Barnett Family Trust, Under Agreement Dated O) appeared on Schedule A of D••••• C•••••• M••••••••• L•Feb 9, 2023 · Control person joined · fact
- Antonov Youlian Petkov (Trustee - Youlian Antonov Petkov And Melissa Lee Lassiter Petkov, Trustees Of The Petkov Family Trust Agreement, Dated May 11, 2) appeared on Schedule A of D••••• C•••••• M••••••••• L•Feb 9, 2023 · Control person joined · fact
- Lee Lassiter Melissa Petkov (Trustee - Youlian Antonov Petkov And Melissa Lee Lassiter Petkov, Trustees Of The Petkov Family Trust Agreement, Dated May 11, 2) appeared on Schedule A of D••••• C•••••• M••••••••• L•Feb 9, 2023 · Control person joined · fact
- Muse Robert Bass (Limited Partner) appeared on Schedule A of D••••• C•••••• M••••••••• L•Feb 9, 2023 · Control person joined · fact
- H••••• Jay H••••• (Sole Member Of Manager) appeared on Schedule A of D••••• C•••••• M••••••••• L•Feb 9, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 650-610-1400reportedpublic record, Form ADV, Sep 9, 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