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•••• O••••••• P•••••••• L•••
Latest filing Sep 16, 2026
First filing on the tape Feb 9, 2012 · 23 filings
SEC status approved since Mar 12, 2012
RAUM
$154M
reported, Item 5.F
Discretionary
15%
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
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$154M as of Dec 23, 2025
Dec 21, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 23, 2025
Dec 21, 20120 then
Employees (5.A)2 as of Dec 23, 2025
Dec 21, 201291 then
Private funds4 as of Dec 23, 2025
Dec 21, 201212 then
RAUM -29% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 16, 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
- $30.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 15%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%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
- $154M, 5 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$154M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $154M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
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
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••• S•••••• E•••••• • F•••• D• I••••••••• E• P••••••••• • M••••••••• | Other Private Fund | $135M | 24 | Dec 21, 2017 |
| D••••••••• C••••••• I••••••••• T••••••••• F•••••••no longer reported | Private Equity Fund | $83.5M | 12 | Feb 9, 2012 |
| D•••• C••••••••• E••••• F••• I•• •••• S••••no longer reported | Other Private Fund | $60.6M | 8 | Feb 9, 2012 |
| D•••• C••••••••• E••••• M•••••••• F•••• L•••no longer reported | Other Private Fund | $13.1M | 17 | Feb 9, 2012 |
| D•••• A••• O••••••••• F••• I••• L•••no longer reported | Other Private Fund | $11.2M | 13 | Feb 9, 2012 |
| D•••• L•••• A••••••• M•••••••• F••• I•• L••• | Other Private Fund | $9.1M | 7 | Feb 9, 2012 |
| P• C••••••••• L••no longer reported | Private Equity Fund | $7.9M | 2 | Dec 23, 2014 |
| D•••• T••••••••• V••••••• G••••• L•• | Private Equity Fund | $7.5M | 7 | Feb 9, 2012 |
| P••••• L•••no longer reported | Private Equity Fund | $4.3M | 4 | Feb 9, 2012 |
| D•••• L•••• A••••••• M•••••••• F••• L•••no longer reported | Other Private Fund | $3.3M | 8 | Feb 9, 2012 |
| D•••• E••••••• M•••••• F•••• L•••no longer reported | Private Equity Fund | $2.0M | 11 | Feb 9, 2012 |
| D•••• L•••• A••••••• P•••••• E••••• F••• L••• | Private Equity Fund | $1.9M | 17 | Feb 9, 2012 |
| D•••• L•••• A••••••• P•••••• E••••• F••• ••••••••• L•••no longer reported | Private Equity Fund | $925,896 | 2 | Dec 23, 2020 |
| D••••••••• F••• I•• L••• | Private Equity Fund | $438,722 | 5 | Feb 9, 2012 |
| D•••• A••• M•••••••• F••• I•• L•••no longer reported | Other Private Fund | $83,236 | 15 | Feb 9, 2012 |
| E••••••• E•••••• L•••no longer reported | Private Equity Fund | $9,777 | 9 | Feb 9, 2012 |
| E••••••• E••••• G••• • C•• B••••••••• K• I•••no longer reported | Private Equity Fund | $1,148 | 2 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• B••••• R•••• · Executive Vice Presidentcontrolsince 12/2020 · owns less than 5%
- W••••• K••••••• C•••• · Chief Compliance Officersince 07/2014 · owns less than 5%
Entity owners
- D•••• O••••••• I••••••••• L••• · General Partnerdirect · owns less than 5%
- D•••• H•••••••• I••• · Shareholderindirect · owns 75% or more of D•••• O••••••• I••••••••• L•••
- F••••••• R••••••••• I••• · Shareholderindirect · owns 75% or more of D•••• H•••••••• I••• · public reporting company
- D•••• H•••••••• I••• · L•••••• Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••••• S••••• P••••••• L•••••investment adviserbanknRAUM $28B
- D•••• L•••• A••••••• I••••••••• L•••pooled vehicle sponsory
- D•••• L•••• A••••••• M•••••••• M••••••••• I•• L••pooled vehicle sponsory
- D•••• O••••••• I••••••••• L•••pooled vehicle sponsory
- D•••• S•••••• E•••••• G•• L••pooled vehicle sponsory
- D••••••••• I••••••••• L••pooled vehicle sponsory
- F•••••••• T•••• C•••••• I•••••••••n
- F•••••••• T•••• I••••••••• O• T•• S••••bankreal estaten
- F••••••• T•••••••• A••• B••••• A••••• D• I••••••••• L••••investment advisery
- F••••••• T•••••••• I••••••••• ••••••• L••••investment advisernRAUM $2.3B
- F••••••• T•••••••• I••••••••• M••••••••• G•••broker-dealerinvestment advisern
- T•••••••• A•••• M••••••••• L•••broker-dealerinvestment adviserbanknRAUM $24B
- T•••••••• G••••• A••••••• L••••••investment adviserbanknRAUM $26B
- T•••••••• H••• A•••• M••••••••• C••• L•••investment advisery
Advisers that list D•••• O••••••• P•••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetDec 23, 2025 to Sep 16, 2026
- Private funds · 4 to unsetDec 23, 2025 to Sep 16, 2026
- Succession · false to unsetDec 23, 2025 to Sep 16, 2026
- Advisory employees · 2 to 1Dec 24, 2024 to Dec 23, 2025
- Assets in custody · $154M to $154MDec 24, 2024 to Dec 23, 2025
- Employees · 4 to 2Dec 24, 2024 to Dec 23, 2025
- Financial planning clients · unset to Dec 24, 2024 to Dec 23, 2025
- Discretionary RAUM · $29.0M to $23.3MDec 24, 2024 to Dec 23, 2025
- Non-discretionary RAUM · $135M to $131MDec 24, 2024 to Dec 23, 2025
- Pooled vehicle RAUM · $164M to $154MDec 24, 2024 to Dec 23, 2025
- RAUM · $164M to $154MDec 24, 2024 to Dec 23, 2025
- Accounts · 6 to 5Dec 22, 2023 to Dec 24, 2024
- Pooled vehicle clients · 6 to 5Dec 22, 2023 to Dec 24, 2024
- Assets in custody · $206M to $154MDec 22, 2023 to Dec 24, 2024
- Private funds · 5 to 4Dec 22, 2023 to Dec 24, 2024
- Discretionary RAUM · $38.1M to $29.0MDec 22, 2023 to Dec 24, 2024
- Non-discretionary RAUM · $178M to $135MDec 22, 2023 to Dec 24, 2024
- Pooled vehicle RAUM · $216M to $164MDec 22, 2023 to Dec 24, 2024
- RAUM · $216M to $164MDec 22, 2023 to Dec 24, 2024
- Accounts · 7 to 6Apr 25, 2023 to Dec 22, 2023
- Pooled vehicle clients · 7 to 6Apr 25, 2023 to Dec 22, 2023
- Assets in custody · $265M to $206MApr 25, 2023 to Dec 22, 2023
- Private funds · 6 to 5Apr 25, 2023 to Dec 22, 2023
- Discretionary RAUM · $99.9M to $38.1MApr 25, 2023 to Dec 22, 2023
- Non-discretionary RAUM · $165M to $178MApr 25, 2023 to Dec 22, 2023
- Pooled vehicle RAUM · $265M to $216MApr 25, 2023 to Dec 22, 2023
- RAUM · $265M to $216MApr 25, 2023 to Dec 22, 2023
- Employees · 6 to 4Dec 20, 2022 to Apr 25, 2023
- Accounts · 8 to 7Dec 22, 2021 to Dec 20, 2022
- Pooled vehicle clients · 8 to 7Dec 22, 2021 to Dec 20, 2022
- Assets in custody · $314M to $265MDec 22, 2021 to Dec 20, 2022
- Employees · 7 to 6Dec 22, 2021 to Dec 20, 2022
- Private funds · 7 to 6Dec 22, 2021 to Dec 20, 2022
- Discretionary RAUM · $199M to $99.9MDec 22, 2021 to Dec 20, 2022
- Non-discretionary RAUM · $157M to $165MDec 22, 2021 to Dec 20, 2022
- Pooled vehicle RAUM · $356M to $265MDec 22, 2021 to Dec 20, 2022
- RAUM · $356M to $265MDec 22, 2021 to Dec 20, 2022
- Advisory employees · 3 to 2Feb 9, 2021 to Dec 22, 2021
- Assets in custody · $637M to $314MFeb 9, 2021 to Dec 22, 2021
- Employees · 8 to 7Feb 9, 2021 to Dec 22, 2021
Signals
7 dated events
- William Jonathan Haddon (General Counsel And Secretary, D•••• O••••••• I••••••••• L•••) no longer on Schedule A of D•••• O••••••• P•••••••• L••• (listed 2022-12-20, absent 2023-04-25)Apr 25, 2023 · Control person left · inference
- D•••• O••••••• P•••••••• L••• reported RAUM $404.2M, down 54% from $869.5M (2020-12-23 to 2021-02-09)Feb 9, 2021 · RAUM change · derived
- Roger Bryan Martoken (Executive Vice President) appeared on Schedule A of D•••• O••••••• P•••••••• L•••Dec 23, 2020 · Control person joined · fact
- Christopher Jonathan Potokin (Managing Director - Finance And Administration, D•••• O••••••• I••••••••• L•••) no longer on Schedule A of D•••• O••••••• P•••••••• L••• (listed 2019-12-19, absent 2020-12-23)Dec 23, 2020 · Control person left · inference
- Sterling Madison Gulley (Executive Vice President) no longer on Schedule A of D•••• O••••••• P•••••••• L••• (listed 2019-12-19, absent 2020-12-23)Dec 23, 2020 · Control person left · inference
- Sterling Madison Gulley (Executive Vice President) appeared on Schedule A of D•••• O••••••• P•••••••• L•••Dec 19, 2019 · Control person joined · fact
- Herman Richard Frank (President And Chief Executive Officer, D•••• O••••••• I••••••••• L•••) no longer on Schedule A of D•••• O••••••• P•••••••• L••• (listed 2018-12-21, absent 2019-12-19)Dec 19, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- D•••• O••••••• P•••••••• L••• · Independent Sponsorsshared crd · capital_provider
- D•••• O••••••• P•••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/darby-overseas-investmentsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-872-0500reportedpublic record, Form ADV, Sep 16, 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