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

D••• C•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserVienna, VirginiaCRD 160375SEC 801-73534IAPD
Latest filing Mar 30, 2019
First filing on the tape Feb 13, 2012 · 20 filings
RAUM
$471M
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
34
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$1.5B gross assets
History
20 filings and snapshots on the tape
RAUM$471M as of Mar 30, 2019
Apr 1, 2013$352M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2019
Apr 1, 20130 then
Employees (5.A)34 as of Mar 30, 2019
Apr 1, 201320 then
Private funds9 as of Mar 30, 2019
Apr 1, 20137 then
RAUM -18% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2019; 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
$52.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$471M, 9 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$471M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$471M for 9 clientsreported
Compensation
n/areported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      21 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••• C•••••• I••••••••• H•••••••• L••Hedge Fund$387M13Mar 30, 2016
      D••• V••••••• I•• L••Hedge Fund$252M11Feb 13, 2012
      D• I••••••••• E•••••••• F•••• L••Hedge Fund$248M1Mar 31, 2017
      D••• V••••••• I• H•••••••• L••Hedge Fund$241M1Mar 31, 2014
      D• I••••••••• A•••• F•••• L••Hedge Fund$216M1Mar 31, 2017
      D••• V••••••• 2•• L••Hedge Fund$135M2Mar 31, 2014
      D••• V••••••• X••• L••no longer reportedHedge Fund$114M1Feb 13, 2012
      D• I••••••••• N•••••• F•••• L••Hedge Fund$112M1Mar 31, 2017
      D••• C•••••• I••••••••• M••••• L••Hedge Fund$34.9M1Mar 30, 2016
      D••• V••••••• M•••• S••••••• F•••• L••• S••••• A•Hedge Fund$8.3M10Apr 1, 2013
      D••• V••••••• X•• L••Hedge Fund$71,1681Feb 13, 2012
      D••• V••••••• 1••• L••Hedge Fund$44,1191Mar 31, 2014
      D••• V••••••• 5•• L••no longer reportedHedge Fund$00Mar 31, 2014
      D••• V••••••• X••• L••no longer reportedHedge Fund$00Mar 31, 2014
      D••• V••••••• 9•• L••no longer reportedHedge Fund$01Mar 31, 2014
      D••• V••••••• 1••• L••no longer reportedHedge Fund$00Mar 31, 2014
      D••• V••••••• 3•• L••no longer reportedHedge Fund$00Mar 31, 2014
      D••• V••••••• I••• L••no longer reportedHedge Fund$00Apr 1, 2013
      D••• V••••••• V• L••no longer reportedHedge Fund$00Apr 1, 2013
      D••• V••••••• I•• L••no longer reportedHedge Fund$01Feb 13, 2012
      D••• V••••••• M•••• S••••••• F•••• L••no longer reportedHedge Fund$01Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• M•••• T•••••• · Managing Directorcontrol
        since 01/2012 · owns less than 5%
      • B••••• N•••• R••••• · Chief Financial Officercontrol
        since 02/2013 · owns less than 5%
      • B•••••••• M•••• A••••• · Managing Director, Private Investmentscontrol
        since 01/2019 · owns less than 5%
      • O••• J•••••• K•• · Chief Compliance Officer And General Counselcontrol
        since 01/2012 · owns less than 5%
      • S••••• J••••• P•••••• · Elected Manager (Managing Board Member), Managing Director, Presidentcontrol
        since 11/2011 · owns less than 5%
      • W••••• D•••• L•••••• · Elected Manager (Managing Board Member), Managing Director And Chief Executive Officercontrol
        since 11/2011 · owns less than 5%
      • S••••• J••••• P•••••• · Trustee Of J•••• P• S•••• R•••••••• T••••control
        since 10/2008 · owns F of T•••••••• F••••• L••
      • W••••• C•••••• J••••• L•••• · Trustee Of D••• L•••••• W••••• I• R•••••••• T••••control
        since 10/2007 · owns F of D• F••••• L•
      • W••••• D•••• L•••••• · Trustee Of D••• L•••••• W••••• I• R•••••••• T•••• And Trustee Of D•••• G• R•••••••• T••••control
        since 10/2007 · owns F of D• F••••• L•
      Entity owners
      • D• F••••• L• · Member
        direct · owns 50% to 75%
      • T•••••••• F••••• L•• · Member
        direct · owns 25% to 50%
      • D•• M•••• S•••••••• L•• · General Partner Of D• F••••• L•
        indirect · owns F of D• F••••• L•
      • D••• L•••••• W••••• I• R•••••••• T•••• · Limited Partner (Class C Is The Relevant Asset Class)
        indirect · owns 75% or more of D• F••••• L•
      • D•••• G• R•••••••• T•••• · Member Of D•• M•••• S•••••••• L••
        indirect · owns F of D•• M•••• S•••••••• L••
      • J•••• P• S•••• R•••••••• T•••• · Member Of T•••••••• F••••• L••
        indirect · owns 75% or more of T•••••••• F••••• L••
      Related persons
      Schedule D 7.A
      • D• E••••• H•••••••• L••
        bankpooled vehicle sponsorn
      • D• E••••• M••••••••• L•••
        bankn
      • D• V••••••• M••••••••• L••
        bankn
      • D• V••••••• M•••• S•••••••• L••
        pooled vehicle sponsorn
      • D•• M•••• S••••••• L••
        pooled vehicle sponsorn
      • D••• V••••••• M•••• S••••••• F•••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 9
        Jan 10, 2019 to Mar 30, 2019
      • Advisory employees · 13 to 17
        Jan 10, 2019 to Mar 30, 2019
      • Charity clients · unset to 0.0
        Jan 10, 2019 to Mar 30, 2019
      • Corporate clients · unset to 0.0
        Jan 10, 2019 to Mar 30, 2019
      • HNW clients · unset to 0.0
        Jan 10, 2019 to Mar 30, 2019
      • Individual clients · unset to 0.0
        Jan 10, 2019 to Mar 30, 2019
      • Pension plan clients · unset to 0.0
        Jan 10, 2019 to Mar 30, 2019
      • Pooled vehicle clients · 11 to 9
        Jan 10, 2019 to Mar 30, 2019
      • Assets in custody · $576M to $471M
        Jan 10, 2019 to Mar 30, 2019
      • Employees · 32 to 34
        Jan 10, 2019 to Mar 30, 2019
      • Private funds · 11 to 9
        Jan 10, 2019 to Mar 30, 2019
      • Discretionary RAUM · $576M to $471M
        Jan 10, 2019 to Mar 30, 2019
      • Pooled vehicle RAUM · $576M to $471M
        Jan 10, 2019 to Mar 30, 2019
      • RAUM · $576M to $471M
        Jan 10, 2019 to Mar 30, 2019
      • Accounts · 19 to 11
        Jan 12, 2018 to Mar 30, 2018
      • Advisory employees · 10 to 13
        Jan 12, 2018 to Mar 30, 2018
      • Pooled vehicle clients · 19 to 11
        Jan 12, 2018 to Mar 30, 2018
      • Assets in custody · $445M to $576M
        Jan 12, 2018 to Mar 30, 2018
      • Employees · 30 to 32
        Jan 12, 2018 to Mar 30, 2018
      • Private funds · 19 to 11
        Jan 12, 2018 to Mar 30, 2018
      • Discretionary RAUM · $445M to $576M
        Jan 12, 2018 to Mar 30, 2018
      • Pooled vehicle RAUM · $445M to $576M
        Jan 12, 2018 to Mar 30, 2018
      • RAUM · $445M to $576M
        Jan 12, 2018 to Mar 30, 2018
      • Pooled vehicle clients · unset to 19.0
        Sep 27, 2017 to Jan 12, 2018
      • Other offices · unset to 0.0
        Sep 27, 2017 to Jan 12, 2018
      • Pooled vehicle RAUM · unset to 445030664.0
        Sep 27, 2017 to Jan 12, 2018
      • Accounts · 16 to 19
        Mar 31, 2016 to Mar 31, 2017
      • Advisory employees · 13 to 10
        Mar 31, 2016 to Mar 31, 2017
      • Assets in custody · $374M to $445M
        Mar 31, 2016 to Mar 31, 2017
      • Employees · 28 to 30
        Mar 31, 2016 to Mar 31, 2017
      • Private funds · 16 to 19
        Mar 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $374M to $445M
        Mar 31, 2016 to Mar 31, 2017
      • RAUM · $374M to $445M
        Mar 31, 2016 to Mar 31, 2017
      • Business name · D••• V••••••• M••••••••• L•• to D••• C•••••• I••••••••• M••••••••• L••
        Mar 30, 2016 to Mar 31, 2016
      • Accounts · 14 to 16
        Jul 17, 2015 to Mar 30, 2016
      • Advisory employees · 9 to 13
        Jul 17, 2015 to Mar 30, 2016
      • Assets in custody · $335M to $374M
        Jul 17, 2015 to Mar 30, 2016
      • Employees · 24 to 28
        Jul 17, 2015 to Mar 30, 2016
      • Private funds · 14 to 16
        Jul 17, 2015 to Mar 30, 2016
      • Discretionary RAUM · $335M to $374M
        Jul 17, 2015 to Mar 30, 2016
      Signals
      2 dated events
      • Andrew Mark B••••••• (Managing Director, Private Investments) appeared on Schedule A of D••• C•••••• I••••••••• M••••••••• L••
        Jan 10, 2019 · Control person joined · fact
      • D••• C•••••• I••••••••• M••••••••• L•• reported RAUM $576.4M, up 30% from $445.0M (2018-01-12 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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