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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
D••• O•• • G•• P•••••••• L••
Latest filing May 9, 2016
First filing on the tape Jul 1, 2013 · 8 filings
RAUM
$280M
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
12
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$280M gross assets
History
8 filings and snapshots on the tape
RAUM$215M as of Mar 30, 2016
Mar 31, 2014$338M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20140 then
Employees (5.A)12 as of Mar 30, 2016
Mar 31, 20144 then
Private funds8 as of Mar 30, 2016
Mar 31, 201434 then
RAUM -17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 9, 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
- $35.0MderivedRAUM 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
- -36%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
- yesreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
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
- 8reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
42 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••• O•••••••• L•• | Private Equity Fund | $82.1M | 9 | Mar 31, 2015 |
| L•• H••••••• 2•••• L• | Private Equity Fund | $70.8M | 3 | Mar 30, 2016 |
| A•••••• M•••••••• L•no longer reported | Private Equity Fund | $68.4M | 31 | Mar 31, 2015 |
| D••• B••••• P••••••• 2•••• L•• | Private Equity Fund | $59.8M | 9 | Apr 1, 2013 |
| D••• 2••• O•• • G••• L• | Private Equity Fund | $41.6M | 2 | Mar 30, 2016 |
| D••••• M••••••• L•••••• P•••••••••no longer reported | Private Equity Fund | $30.0M | 1 | Apr 1, 2013 |
| D••• L•••• A••••••••• 2•••••• L•no longer reported | Other Private Fund | $29.9M | 20 | Apr 4, 2012 |
| D••• W•••••••• M••••••• 2•••••• L•no longer reported | Private Equity Fund | $24.8M | 32 | Apr 1, 2013 |
| D••• G•• P•••••••• L•no longer reported | Private Equity Fund | $21.1M | 19 | Apr 4, 2012 |
| D••• G•• P•••••••• L•no longer reported | Private Equity Fund | $20.0M | 18 | Apr 1, 2013 |
| D••• P•••••••• M••••••• F•••• L•no longer reported | Private Equity Fund | $20.0M | 1 | Apr 1, 2013 |
| D••• W•••••••• M••••••• 2•••• L•no longer reported | Other Private Fund | $16.9M | 36 | Apr 4, 2012 |
| D••• W•••••••• M••••••• 2•••• L•no longer reported | Other Private Fund | $16.7M | 36 | Apr 4, 2012 |
| D••• L•••••••• P••••••• 2•••• L••no longer reported | Private Equity Fund | $16.5M | 22 | Jul 1, 2013 |
| D••• L•••••••• P••••••• 2•••• L•• | Private Equity Fund | $16.3M | 25 | Mar 30, 2016 |
| D••• E••• T•••• M••••••• 2•••• L•no longer reported | Other Private Fund | $15.5M | 30 | Apr 4, 2012 |
| D••• C••••• E•••••• L•no longer reported | Private Equity Fund | $10.2M | 17 | Apr 4, 2012 |
| D••• W•••••••• M••••••• 2•••• L•no longer reported | Other Private Fund | $6.6M | 20 | Apr 4, 2012 |
| D••• L•••• A••••••••• 2•••• L•no longer reported | Other Private Fund | $6.2M | 20 | Apr 4, 2012 |
| D••• G•• P••••••• I•• L• | Private Equity Fund | $5.8M | 29 | Apr 4, 2012 |
| D••• 2••• A• L•••• L•no longer reported | Private Equity Fund | $4.3M | 4 | Mar 31, 2014 |
| D•••••••• L•no longer reported | Private Equity Fund | $4.2M | 10 | Apr 4, 2012 |
| D••••••••• L•no longer reported | Private Equity Fund | $3.1M | 3 | Apr 1, 2013 |
| D••• G•• P••••••• I• G•• L••no longer reported | Private Equity Fund | $3.0M | 9 | Jul 1, 2013 |
| D••• P••••••• H•••••••• L•• | Private Equity Fund | $2.7M | 2 | Mar 30, 2016 |
| D••• W•••••••• M••••••• 2•••• L•no longer reported | Other Private Fund | $2.3M | 20 | Apr 4, 2012 |
| D•• V••••••• L•no longer reported | Private Equity Fund | $1.2M | 8 | Jul 1, 2013 |
| D••• T•••• M••••••••• L•• | Private Equity Fund | $1.0M | 2 | Mar 30, 2016 |
| L•••• I••••••••• I• L••no longer reported | Private Equity Fund | $650,000 | 5 | Apr 4, 2012 |
| L•• M••••••• 2•••• L••no longer reported | Private Equity Fund | $496,000 | 3 | Jul 1, 2013 |
| L•••• V••••••• L••no longer reported | Private Equity Fund | $450,000 | 5 | Apr 4, 2012 |
| D••••••••• P•••••••• L••no longer reported | Private Equity Fund | $320,000 | 2 | Apr 4, 2012 |
| L•••• P•••••••• L••no longer reported | Private Equity Fund | $225,000 | 4 | Apr 4, 2012 |
| D••• M••••••• M••••••••• 2•••• L••no longer reported | Private Equity Fund | $50,000 | 1 | Jul 1, 2013 |
| D••••••• G•• L••no longer reported | Private Equity Fund | $40,000 | 1 | Jul 1, 2013 |
| D•• V•••••• G•• L••no longer reported | Private Equity Fund | $12,000 | 1 | Jul 1, 2013 |
| D••••••••• G•• L••no longer reported | Private Equity Fund | $3,100 | 1 | Jul 1, 2013 |
| D•• 2••• G•• L••no longer reported | Private Equity Fund | $1,000 | 8 | Jul 1, 2013 |
| D•• 2••••• G•• L••no longer reported | Private Equity Fund | $1,000 | 9 | Jul 1, 2013 |
| D•• 2••• G•• L••no longer reported | Private Equity Fund | $1,000 | 9 | Jul 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••••• T••••• · Managercontrolsince 12/2013 · owns less than 5%
- D•••• L•••••••• B• · Managercontrolsince 02/2012 · owns less than 5%
- M•••••• C••• · Managercontrolsince 02/2012 · owns less than 5%
- D•••• B••••••• · Co-Trusteecontrolsince 05/2007 · owns F of D••• L••••• T••••
- D•••• L•••••••• B• · Co-Trusteecontrolsince 05/2007 · owns F of D••• L••••• T••••
- H•••••• M•••• J•••• · Chief Compliance Officersince 12/2013 · owns less than 5%
Entity owners
- D••• 2••• G•• L•• · Memberdirect · owns 25% to 50%
- D••• 2••• O•• • G•• G•• L•• · Memberdirect · owns 25% to 50%
- D••• T•••• M••••••••• L•• · Memberdirect · owns 25% to 50%
- D••• L••••• T•••• · Memberindirect · owns 75% or more of D••• 2••• G•• L••
- D••• L••••• T•••• · Memberindirect · owns 75% or more of D••• 2••• O•• • G•• G•• L••
- D••• L••••• T•••• · Memberindirect · owns 75% or more of D••• T•••• M••••••••• L••
Related persons
Schedule D 7.A
- A•••••• M••••••• M••••••••• I•• L••pooled vehicle sponsorn
- A•••••• M••••••• M••••••••• L••pooled vehicle sponsorn
- D••• 2••• G•• L••pooled vehicle sponsorn
- D••• 2••• O•• • G•• G•• L••pooled vehicle sponsorn
- D••• A••••••••• G•• L••pooled vehicle sponsorn
- D••• E••••••••• L••pooled vehicle sponsorn
- D••• G•• P••••••• I• G•• L••pooled vehicle sponsorn
- D••• M••••••• M••••••••• 2•••• L••pooled vehicle sponsorn
- D••• O••••••• M••••••••• 2•••• L••pooled vehicle sponsorn
- D••••••• G•• L••pooled vehicle sponsorn
- D••••••••• E••••• G•• L••pooled vehicle sponsorn
- D••••••••• B••••• M••••••••• L••pooled vehicle sponsorn
- D••••••••• G•• L••pooled vehicle sponsorn
- D•• G•• L••pooled vehicle sponsorn
- D•• 2••• G•• L••pooled vehicle sponsorn
- D•• 2••••• G•• L••pooled vehicle sponsorn
- D•• G•• L••pooled vehicle sponsorn
- D•• G•• L••pooled vehicle sponsorn
- D•• P••• G•• L••pooled vehicle sponsorn
- D•• V•••••• G•• L••pooled vehicle sponsorn
- D•• 2••• G•• L••pooled vehicle sponsorn
- D•• 2••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $215M to $280MMar 30, 2016 to May 9, 2016
- RAUM · $215M to $280MMar 30, 2016 to May 9, 2016
- Accounts · 7 to 8Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 3 to 12Mar 31, 2015 to Mar 30, 2016
- Assets in custody · $336M to $0Mar 31, 2015 to Mar 30, 2016
- Employees · 4 to 12Mar 31, 2015 to Mar 30, 2016
- Private funds · 7 to 8Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $336M to $215MMar 31, 2015 to Mar 30, 2016
- RAUM · $336M to $215MMar 31, 2015 to Mar 30, 2016
- Accounts · 34 to 7Mar 31, 2014 to Mar 31, 2015
- Assets in custody · $325M to $336MMar 31, 2014 to Mar 31, 2015
- Private funds · 34 to 7Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $338M to $336MMar 31, 2014 to Mar 31, 2015
- RAUM · $338M to $336MMar 31, 2014 to Mar 31, 2015
- Accounts · 35 to 34Dec 26, 2013 to Mar 31, 2014
- Private funds · 33 to 34Dec 26, 2013 to Mar 31, 2014
- Discretionary RAUM · $325M to $338MDec 26, 2013 to Mar 31, 2014
- RAUM · $325M to $338MDec 26, 2013 to Mar 31, 2014
- Private funds · 66 to 33Jul 1, 2013 to Jul 9, 2013
Signals
1 dated events
- D••• O•• • G•• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 1, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••• O•• • G•• P•••••••• L•• · Private Equityshared crd · organization
- D••• O•• • G•• P•••••••• L•• · Venture Capitalshared crd · organization
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