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••••••• R••• E••••• A•••• M••••••••• L••••••
Latest filing Jul 26, 2022
First filing on the tape Feb 14, 2012 · 20 filings
RAUM
$6.4B
reported, Item 5.F
Discretionary
0.0%
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
42
27 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$2.0B gross assets
History
20 filings and snapshots on the tape
RAUM$6.4B as of Jun 29, 2022
Jun 29, 2012$4.2B then
HNW client RAUM$0 as of Jun 29, 2022
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 29, 2022
Jun 27, 20130 then
Employees (5.A)42 as of Jun 29, 2022
Jun 27, 201338 then
Private funds1 as of Jun 29, 2022
Jun 29, 20122 then
RAUM +11% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 26, 2022; 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
- $320MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +11%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
- $17.7M, 1 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.4B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 20reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•• L••••••no longer reported | Hedge Fund | $157M | 70 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• P•••• J••••••• · Chief Executive Officercontrolsince 06/1996 · owns less than 5%
- L••••••••• S•••••••• M••••• · Chief Investment Officercontrolsince 02/2020 · owns less than 5%
- O•••• A•••••• I••••• · Chief Operating Officercontrolsince 08/2004 · owns less than 5%
- P••••• R••••• J••••••••• · Chief Compliance Officercontrolsince 11/2011 · owns less than 5%
- R••••••• J••••• W•••••• J••••• · Chairman/Foundercontrolsince 07/1995 · owns less than 5%
- R••••••• J••••• W•••••• J••••• · Owner Of Class B And Class D Sharescontrolsince 11/2017 · owns 75% or more of C•••• H••••••• L••••••
Entity owners
- C•••• H••••••• L•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- D••••••• A•••• M••••••••• L••••••investment adviseryRAUM $136M
- D••••••• R••• E••••• I••••••••• M••••••••• L••••••investment advisernRAUM $200M
- Dqrinvestment advisernRAUM $220M
- M••••••••• C•••••• M••••••••• L••investment advisern
- M•••• K••••• L••••••investment adviseryRAUM $34.4M
- N•• B••••••• G• L••pooled vehicle sponsorn
- N•• G• U•• L••pooled vehicle sponsorn
- N•• P•••••••investment adviseryRAUM $932M
- N•• P•••••••investment adviseryRAUM $475M
Advisers that list D••••••• R••• E••••• A•••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 20Sep 25, 2021 to Jun 29, 2022
- Advisory employees · 29 to 27Sep 25, 2021 to Jun 29, 2022
- Pooled vehicle clients · 19 to 20Sep 25, 2021 to Jun 29, 2022
- Assets in custody · $20.1M to $17.7MSep 25, 2021 to Jun 29, 2022
- Employees · 44 to 42Sep 25, 2021 to Jun 29, 2022
- Non-discretionary RAUM · $5.8B to $6.4BSep 25, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $5.8B to $6.4BSep 25, 2021 to Jun 29, 2022
- RAUM · $5.8B to $6.4BSep 25, 2021 to Jun 29, 2022
- Related broker-dealer · true to falseSep 25, 2021 to Jun 29, 2022
- Accounts · 14 to 19Oct 20, 2020 to Jun 29, 2021
- Advisory employees · 26 to 29Oct 20, 2020 to Jun 29, 2021
- Pooled vehicle clients · 14 to 19Oct 20, 2020 to Jun 29, 2021
- Assets in custody · $19.7M to $20.1MOct 20, 2020 to Jun 29, 2021
- Employees · 41 to 44Oct 20, 2020 to Jun 29, 2021
- Financial planning clients · 0 to unsetOct 20, 2020 to Jun 29, 2021
- Non-discretionary RAUM · $4.8B to $5.8BOct 20, 2020 to Jun 29, 2021
- Pooled vehicle RAUM · $4.8B to $5.8BOct 20, 2020 to Jun 29, 2021
- RAUM · $4.8B to $5.8BOct 20, 2020 to Jun 29, 2021
- Accounts · 11 to 14Mar 25, 2020 to Jun 27, 2020
- Advisory employees · 25 to 26Mar 25, 2020 to Jun 27, 2020
- Pooled vehicle clients · 11 to 14Mar 25, 2020 to Jun 27, 2020
- Assets in custody · $23.5M to $19.7MMar 25, 2020 to Jun 27, 2020
- Employees · 39 to 41Mar 25, 2020 to Jun 27, 2020
- Non-discretionary RAUM · $3.9B to $4.8BMar 25, 2020 to Jun 27, 2020
- Pooled vehicle RAUM · $3.9B to $4.8BMar 25, 2020 to Jun 27, 2020
- RAUM · $3.9B to $4.8BMar 25, 2020 to Jun 27, 2020
- Accounts · 8 to 11Jun 29, 2018 to Jun 29, 2019
- Advisory employees · 24 to 25Jun 29, 2018 to Jun 29, 2019
- Pooled vehicle clients · 8 to 11Jun 29, 2018 to Jun 29, 2019
- Assets in custody · $14.4M to $23.5MJun 29, 2018 to Jun 29, 2019
- Employees · 38 to 39Jun 29, 2018 to Jun 29, 2019
- Financial planning clients · unset to 0Jun 29, 2018 to Jun 29, 2019
- Non-discretionary RAUM · $4.1B to $3.9BJun 29, 2018 to Jun 29, 2019
- Pooled vehicle RAUM · $4.1B to $3.9BJun 29, 2018 to Jun 29, 2019
- RAUM · $4.1B to $3.9BJun 29, 2018 to Jun 29, 2019
- Related broker-dealer · false to trueJun 29, 2018 to Jun 29, 2019
- Accounts · 6 to 8Jun 29, 2017 to Jun 29, 2018
- Advisory employees · 26 to 24Jun 29, 2017 to Jun 29, 2018
- Charity clients · unset to 0.0Jun 29, 2017 to Jun 29, 2018
- Corporate clients · unset to 0.0Jun 29, 2017 to Jun 29, 2018
Signals
2 dated events
- Timothy Haden-Scott (Executive Director) no longer on Schedule A of D••••••• R••• E••••• A•••• M••••••••• L•••••• (listed 2020-06-27, absent 2020-10-20)Oct 20, 2020 · Control person left · inference
- Stafford Lancaster (Executive Director) appeared on Schedule A of D••••••• R••• E••••• A•••• M••••••••• L••••••Mar 25, 2020 · 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.
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
Across the graphs
D••••••• R••• E••••• A•••• M••••••••• L•••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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