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 Mar 30, 2026
First filing on the tape Apr 19, 2012 · 19 filings
SEC status approved since May 7, 2012
RAUM
$9.0B
reported, Item 5.F
Discretionary
42%
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
100
100 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
20
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$9.0B as of Mar 30, 2026
Mar 27, 2013$334M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20130 then
Employees (5.A)100 as of Mar 30, 2026
Mar 27, 201312 then
Private funds20 as of Mar 30, 2026
Mar 27, 20132 then
RAUM +12% over the last fiscal year+17% 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
- $215MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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 vehicles, otherreportedItem 5.G
- Custody
- $3.8B, 30 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$3.8B78%
- Corporations and businesses$1.1B22%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 42reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.8B for 30 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.42 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
27 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• P•••••••• L•• | Hedge Fund | $1.4B | 7 | Mar 31, 2021 |
| D••••••• C•••••• S•••••••• L• C••••••••• 3• | Private Equity Fund | $282M | 5 | Mar 30, 2022 |
| D••••••• C•••••• A•••••••• I• •••• L•no longer reported | Hedge Fund | $253M | 24 | Mar 31, 2017 |
| D••••••• F•••••• V• L• | Hedge Fund | $245M | 3 | Mar 30, 2022 |
| D••••••• C•••••• A•••••••• I• •••••••• L•no longer reported | Hedge Fund | $237M | 32 | Mar 31, 2017 |
| D••••••• F•••••• A•••••••• I•• L• | Hedge Fund | $231M | 36 | Mar 31, 2017 |
| D••••••• C•••••• S•••••••• L• C••••••••• 1• | Private Equity Fund | $206M | 6 | Mar 30, 2020 |
| D••••••• C•••••• S•••••••• L• C••••••••• 2• | Private Equity Fund | $183M | 5 | Mar 31, 2021 |
| D••••••• P••••••• •••••••• L• | Hedge Fund | $162M | 2 | Mar 31, 2021 |
| D••••••• C•••••• V•• L• | Private Equity Fund | $158M | 4 | Mar 30, 2022 |
| D••••••• C•••••• V• L• | Private Equity Fund | $134M | 5 | Mar 30, 2020 |
| D••••••• N•••••• P•••••••• L•• | Private Equity Fund | $93.5M | 3 | Mar 31, 2021 |
| D••••••• C•••••• A•••••••• V•• •••••••• L• | Hedge Fund | $86.4M | 5 | Mar 30, 2020 |
| D••••••• C•••••• I•• L• | Private Equity Fund | $46.4M | 9 | Mar 28, 2018 |
| D••••••• C•••••• V• •••••••• L• | Private Equity Fund | $36.2M | 5 | Mar 30, 2023 |
| D••••••• E•••••••• •••• L• | Private Equity Fund | $22.0M | 0 | Mar 28, 2024 |
| D••••••• F•••••• A•••••••• V• L• | Hedge Fund | $20.1M | 36 | Mar 30, 2020 |
| D••••••• C•••••• A•••••••• V• •••• L•no longer reported | Hedge Fund | $7.0M | 9 | Mar 30, 2020 |
| D••••••• C•••••• I•• L•no longer reported | Hedge Fund | $232,274 | 41 | Apr 19, 2012 |
| P•••••••• C••••••• L••no longer reported | Private Equity Fund | $202,791 | 18 | Mar 27, 2014 |
| P•••••••• C•••••• A••••••••• L•no longer reported | Hedge Fund | $106,292 | 16 | Mar 27, 2014 |
| D••••••• C••••••• L• | Hedge Fund | $33,116 | 0 | Apr 19, 2012 |
| D••••••• C•••••• A•••••••• V• •••••••• L•no longer reported | Hedge Fund | $0 | 3 | Mar 30, 2020 |
| D••••••• C•••••• S•••••••• L• C••••••••• 4• | Private Equity Fund | $0 | 0 | Mar 28, 2024 |
| D••••••• C•••••• S•••••••• L• C••••••••• 5• | Private Equity Fund | $0 | 0 | Mar 28, 2024 |
| D••••••• C•••••• V•• •••••••• L• | Private Equity Fund | $0 | 0 | Mar 28, 2024 |
| D••••••• C•••••• V••• L• | Private Equity Fund | $0 | 0 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••• A••••• K•••• · Chief Compliance Officer, Chief Financial Officercontrolsince 07/2007 · owns less than 5%
- D•••••• D••••• M•••••• · Managing Director, Treasurercontrolsince 07/2021 · owns less than 5%
- H••••• T•••••••• N•• · Partner, Chief Operating Officercontrolsince 01/2015 · owns less than 5%
- K••••• J••••• H••••••••• · President, Chief Executive Officercontrolsince 05/2007 · owns less than 5%
- H••••• T•••••••• N•• · Sole Membercontrolsince 12/2022 · owns 75% or more of K••••• L••
- K••••• J••••• H••••••••• · Trusteecontrolsince 05/2022 · owns F of T•• J•••• H• K•••• 2••• I••••••••• F••••• T••••
- K••••• J••••• H••••••••• · Managing Membercontrolsince 05/2007 · owns 75% or more of P••••••• S•••••• L••
- K••••• J••••• H••••••••• · Managing Membercontrolsince 05/2007 · owns 75% or more of D••••••• C•••••• M••••••••• L••
- P••••••••• S••••• A•••••• · Trusteecontrolsince 03/2023 · owns F of T•• J•••• H• K•••• 2••• I••••••••• F••••• T••••
Entity owners
- P••• D••••••• P•••••••• L•• · G•••••• Partnerdirect · owns 75% or more
- P••••••• S•••••• L•• · Limited Partnerdirect · owns 10% to 25%
- P••• H•••••• C•••••• L•• · Sole Shareholderindirect · owns 75% or more of P•••• I•••
- P•••• I••• · Sole Memberindirect · owns 75% or more of P••• D••••••• P•••••••• L••
- P••••••••• F••••••••• I••• · Sole Memberindirect · owns 75% or more of P••• H•••••• C•••••• L•• · public reporting company
- T•• J•••• H• K•••• 2••• I••••••••• F••••• T•••• · Assigneeindirect · owns F of P••••••• S•••••• L••
- D••••••• C•••••• M••••••••• L•• · Limited Partnerdirect · owns less than 5%
- D••••••• V••••• P•••••••• L•• · Limited Partnerdirect · owns less than 5%
- D••••••• W••••••••• P•••••••• L•• · Limited Partnerdirect · owns less than 5%
- K••••• L•• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- D••••••• C•••••• A• P••• L••pooled vehicle sponsory
- D••••••• C•••••• G••••• E••••••••• L••pooled vehicle sponsorn
- D••••••• C•••••• G••••• I•• L••pooled vehicle sponsorn
- D••••••• C•••••• G••••• V• L••pooled vehicle sponsorn
- D••••••• C•••••• G••••• V•• L••pooled vehicle sponsorn
- D••••••• C•••••• G••••• V••• L••pooled vehicle sponsorn
- D••••••• C•••••• G• S••••••pooled vehicle sponsorn
- D••••••• C•••••• J•••• L••pooled vehicle sponsory
- D••••••• C•••••• U• L••pooled vehicle sponsory
- D••••••• F••• S••••••• L••pooled vehicle sponsory
- D••••••• F•••••• A•••••••• I• G•••••• P••••••• L••pooled vehicle sponsorn
- D••••••• F•••••• G•••••• P•••••• V• L••pooled vehicle sponsorn
- D••••••• K••••• L•••pooled vehicle sponsory
Advisers that list D••••••• C•••••• M••••••••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA32 employees
- Chicago, IL29 employees
- New York, NY3 employees
What changed
consecutive filings, newest first
- Accounts · 40 to 42Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 96 to 100Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 29 to 30Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $3.1B to $3.8BMar 28, 2025 to Mar 30, 2026
- Employees · 96 to 100Mar 28, 2025 to Mar 30, 2026
- Private funds · 21 to 20Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.1B to $3.8BMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.9B to $5.3BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.1B to $3.8BMar 28, 2025 to Mar 30, 2026
- RAUM · $8.1B to $9.0BMar 28, 2025 to Mar 30, 2026
- Accounts · 35 to 40Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 88 to 96Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 25 to 29Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $3.3B to $3.1BMar 28, 2024 to Mar 28, 2025
- Employees · 88 to 96Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 19 to 21Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.3B to $3.1BMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $3.9B to $4.9BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.3B to $3.1BMar 28, 2024 to Mar 28, 2025
- RAUM · $7.2B to $8.1BMar 28, 2024 to Mar 28, 2025
- Accounts · 30 to 35Dec 21, 2023 to Mar 28, 2024
- Advisory employees · 81 to 88Dec 21, 2023 to Mar 28, 2024
- Corporate clients · 2 to 3Dec 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 23 to 25Dec 21, 2023 to Mar 28, 2024
- Assets in custody · $3.7B to $3.3BDec 21, 2023 to Mar 28, 2024
- Employees · 81 to 88Dec 21, 2023 to Mar 28, 2024
- HQ city · NEW YORK to FORT LAUDERDALEDec 21, 2023 to Mar 28, 2024
- HQ state · NY to FLDec 21, 2023 to Mar 28, 2024
- Private funds · 15 to 19Dec 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.7B to $3.3BDec 21, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.9B to $3.9BDec 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.7B to $3.3BDec 21, 2023 to Mar 28, 2024
- RAUM · $5.6B to $7.2BDec 21, 2023 to Mar 28, 2024
- Accounts · 29 to 30Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 61 to 81Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $2.4B to $3.7BMar 30, 2022 to Mar 30, 2023
- Employees · 61 to 81Mar 30, 2022 to Mar 30, 2023
- Private funds · 17 to 15Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.4B to $3.7BMar 30, 2022 to Mar 30, 2023
Signals
8 dated events
- D••••••• C•••••• M••••••••• L• reported RAUM $7.2B, up 29% from $5.6B (2023-12-21 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Michael Derek Dubois (Managing Director, Treasurer) appeared on Schedule A of D••••••• C•••••• M••••••••• L•Mar 28, 2024 · Control person joined · fact
- Bowler John Fitzgibbons (Managing Member) no longer on Schedule A of D••••••• C•••••• M••••••••• L• (listed 2023-03-30, absent 2023-12-21)Dec 21, 2023 · Control person left · inference
- Carl Gary Wendt (Managing Member) no longer on Schedule A of D••••••• C•••••• M••••••••• L• (listed 2023-03-30, absent 2023-12-21)Dec 21, 2023 · Control person left · inference
- Anthony Scott Perekslis (Trustee) appeared on Schedule A of D••••••• C•••••• M••••••••• L•Dec 21, 2023 · Control person joined · fact
- D••••••• C•••••• M••••••••• L• reported RAUM $5.6B, up 45% from $3.9B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- D••••••• C•••••• M••••••••• L• reported RAUM $3.9B, up 72% from $2.3B (2021-12-03 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- D••••••• C•••••• M••••••••• L• reported RAUM $1.9B, up 104% from $949.1M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- D••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- D••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/D•••••••-CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- D•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 6177030653reportedpublic 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
- Other 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