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•••••• P•••••••

Former SEC-registered adviserFarmington, ConnecticutCRD 161475SEC 801-76652IAPD
Legal name D•••••• C•••••• M••••••••• L••
Latest filing Mar 29, 2016
First filing on the tape Apr 30, 2012 · 8 filings
RAUM
$160M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$160M gross assets
History
8 filings and snapshots on the tape
RAUM$160M as of Mar 29, 2016
Mar 26, 2013$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 26, 20130 then
Employees (5.A)3 as of Mar 29, 2016
Mar 26, 20135 then
Private funds1 as of Mar 29, 2016
Mar 26, 20131 then
RAUM -0.1% over the last fiscal year+0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$160MderivedRAUM 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
-0.1%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$132M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$132M for 1 clientsreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••• C•••••• P••••••• I• L•••Private Equity Fund$75.7M37Mar 30, 2012
      D•••••• C•••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$125,35827Aug 12, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• V••••••• J••• · Managing Director & Class B Membercontrol
        since 09/2010 · owns 50% to 75%
      • F••••• J•••••• D•••••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 12/2011 · owns less than 5%
      • D••••••• S•••••• C•••• · Trusteecontrol
        since 01/2006 · owns F of V•••••• J• D••••••• J•• F••••• T••••
      • D••••••• V••••••• J••• · Trusteecontrol
        since 01/2006 · owns F of V•••••• J• D••••••• J•• F••••• T••••
      • D••••••• V••••••• J••• · Membercontrol
        since 04/2011 · owns 25% to 50% of W••••• P•••••••• L••
      • M•••••• P••••••• E••••• · Trusteecontrol
        since 01/2006 · owns F of V•••••• J• D••••••• J•• F••••• T••••
      Entity owners
      • W••••• P•••••••• L•• · Class A Member
        direct · owns 25% to 50%
      • V•••••• J• D••••••• J•• F••••• T•••• · Member
        indirect · owns 25% to 50% of W••••• P•••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 3
        Mar 30, 2015 to Mar 29, 2016
      • Assets in custody · $121M to $132M
        Mar 30, 2015 to Mar 29, 2016
      • Employees · 6 to 3
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $160M to $160M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $160M to $160M
        Mar 30, 2015 to Mar 29, 2016
      • Assets in custody · $67.7M to $121M
        Feb 18, 2015 to Mar 30, 2015
      • Discretionary RAUM · $170M to $160M
        Feb 18, 2015 to Mar 30, 2015
      • RAUM · $170M to $160M
        Feb 18, 2015 to Mar 30, 2015
      • Private funds · 2 to 1
        Aug 12, 2014 to Feb 18, 2015
      • Private funds · 1 to 2
        Mar 27, 2014 to Aug 12, 2014
      • Assets in custody · $29.4M to $67.7M
        Oct 4, 2013 to Mar 27, 2014
      • Discretionary RAUM · $157M to $170M
        Oct 4, 2013 to Mar 27, 2014
      • RAUM · $157M to $170M
        Oct 4, 2013 to Mar 27, 2014
      • Advisory employees · 5 to 6
        Mar 26, 2013 to Oct 4, 2013
      • Employees · 5 to 6
        Mar 26, 2013 to Oct 4, 2013
      • Advisory employees · unset to 5.0
        Apr 30, 2012 to Mar 26, 2013
      • BD registered reps · unset to 1.0
        Apr 30, 2012 to Mar 26, 2013
      • Assets in custody · $21.4M to $29.4M
        Apr 30, 2012 to Mar 26, 2013
      • Employees · unset to 5.0
        Apr 30, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Apr 30, 2012 to Mar 26, 2013
      • Private funds · 2 to 1
        Apr 30, 2012 to Mar 26, 2013
      • Discretionary RAUM · $160M to $157M
        Apr 30, 2012 to Mar 26, 2013
      • RAUM · $160M to $157M
        Apr 30, 2012 to Mar 26, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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