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•••••• A•••••••
Legal name D••••••• C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 1, 2013 · 21 filings
SEC status approved since May 21, 2013
RAUM
$420M
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
35
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$420M as of Mar 31, 2026
Mar 28, 2014$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20140 then
Employees (5.A)35 as of Mar 31, 2026
Mar 28, 201418 then
Private funds2 as of Mar 31, 2026
Mar 28, 20143 then
RAUM +6.0% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $140MderivedRAUM 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
- +6.0%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
- 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$420M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•• M••••••• P••••••• X• L• | Real Estate Fund | $276M | 100 | Mar 30, 2020 |
| D•• M••••••• P••••••• V••• L• | Real Estate Fund | $45.1M | 100 | Mar 30, 2016 |
| D•• M••••••• P••••••• X•• L• | Real Estate Fund | $21.9M | 18 | Mar 30, 2024 |
| D•• M••••••• P••••••• I•• L•no longer reported | Hedge Fund | $20.4M | 90 | Mar 16, 2012 |
| D•• M••••••• P••••••• V•• L•no longer reported | Hedge Fund | $12.5M | 100 | Mar 16, 2012 |
| D•• M••••••• P••••••• I• L• | Real Estate Fund | $7.7M | 47 | Mar 31, 2019 |
| D•• M••••••• P••••••• I••• L•no longer reported | Hedge Fund | $1.2M | 100 | Mar 16, 2012 |
| D•• M••••••• P••••••• V•••• L• | Real Estate Fund | $339,375 | 1 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- A••••• L••••• B•••• · Senior Vice Presidentcontrolsince 12/2011 · owns less than 5%
- C•••••• J•••••• C•••••• · Chief Operating Officercontrolsince 12/2023 · owns less than 5%
- G••••••• N•••••••• W•••••• · Executive Vice Presidentcontrolsince 12/2023 · owns less than 5%
- M•••••• M••••••• P•••••• · Executive Vice Presidentcontrolsince 12/2023 · owns less than 5%
- M•••••• C••••••••• S•••• · Chief Executive Officer & Chief Compliance Officercontrolsince 06/2023 · owns 50% to 75%
- S•••••• J•••• W•••••• · Senior Vice Presidentcontrolsince 12/2011 · owns 10% to 25%
- M•••••• C••••••••• S•••• · Managing Membercontrolsince 12/2011 · owns 50% to 75% of D••••••• C•••••• R••••••••• L••
Entity owners
- D••••••• C•••••• R••••••••• L•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- D•• L••• S••••••••• L••n
- D••••••• C•••••• R••••••••• L••investment companypooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 3Apr 29, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 3Apr 29, 2025 to Mar 31, 2026
- Private funds · 5 to 2Apr 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $396M to $420MApr 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $396M to $420MApr 29, 2025 to Mar 31, 2026
- RAUM · $396M to $420MApr 29, 2025 to Mar 31, 2026
- Employees · 40 to 35Jun 25, 2024 to Apr 29, 2025
- Financial planning clients · unset to Jun 25, 2024 to Apr 29, 2025
- Discretionary RAUM · $364M to $396MJun 25, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $364M to $396MJun 25, 2024 to Apr 29, 2025
- RAUM · $364M to $396MJun 25, 2024 to Apr 29, 2025
- Accounts · 5 to 6Jun 15, 2023 to Mar 30, 2024
- Pooled vehicle clients · 5 to 6Jun 15, 2023 to Mar 30, 2024
- Employees · 30 to 40Jun 15, 2023 to Mar 30, 2024
- Private funds · 4 to 5Jun 15, 2023 to Mar 30, 2024
- Discretionary RAUM · $313M to $364MJun 15, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $313M to $364MJun 15, 2023 to Mar 30, 2024
- RAUM · $313M to $364MJun 15, 2023 to Mar 30, 2024
- Discretionary RAUM · $315M to $313MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $315M to $313MMar 31, 2022 to Mar 31, 2023
- RAUM · $315M to $313MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $329M to $315MJun 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $329M to $315MJun 30, 2021 to Mar 31, 2022
- RAUM · $329M to $315MJun 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $330M to $329MApr 19, 2021 to Apr 30, 2021
- Pooled vehicle RAUM · $330M to $329MApr 19, 2021 to Apr 30, 2021
- RAUM · $330M to $329MApr 19, 2021 to Apr 30, 2021
- Discretionary RAUM · $289M to $330MJun 15, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $289M to $330MJun 15, 2020 to Mar 31, 2021
- RAUM · $289M to $330MJun 15, 2020 to Mar 31, 2021
- Other offices · 1 to 0Mar 31, 2019 to Mar 30, 2020
- Discretionary RAUM · $260M to $289MMar 31, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $260M to $289MMar 31, 2019 to Mar 30, 2020
- RAUM · $260M to $289MMar 31, 2019 to Mar 30, 2020
- Accounts · 3 to 5Mar 29, 2018 to Mar 31, 2019
- Pooled vehicle clients · 3 to 5Mar 29, 2018 to Mar 31, 2019
- Private funds · 3 to 4Mar 29, 2018 to Mar 31, 2019
- Discretionary RAUM · $282M to $260MMar 29, 2018 to Mar 31, 2019
- Pooled vehicle RAUM · $282M to $260MMar 29, 2018 to Mar 31, 2019
- RAUM · $282M to $260MMar 29, 2018 to Mar 31, 2019
Signals
2 dated events
- Jane Stacy Ames (Chief Financial Officer, Secretary, Chief Compliance Officer) no longer on Schedule A of D••••••• C•••••• A••••••• (listed 2023-03-31, absent 2023-06-15)Jun 15, 2023 · Control person left · inference
- D••••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)May 1, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••••• C•••••• A••••••• · Private Equityshared crd · organization
- D••••••• C•••••• A••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/directedcapital_2001reportedpublic record, Form ADV, Sep 19, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 727-341-8380reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
D••••••• C•••••• A••••••• 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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