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
C••• C•••••• P•••••••
Legal name C••• M••••••••• I• C•••••••••
Latest filing Mar 27, 2026
First filing on the tape Jun 21, 2019 · 16 filings
SEC status approved since Jul 18, 2019
RAUM
$1.3B
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2026
Mar 30, 2020$313M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20200 then
Employees (5.A)4 as of Mar 27, 2026
Mar 30, 20204 then
Private funds8 as of Mar 27, 2026
Mar 30, 20204 then
RAUM +0.8% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $94.7MderivedRAUM 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
- +0.8%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
- $1.3B, 9 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)
- 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
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 9 clientsreported
- Compensation
- % of AUM, performancereported
- 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• C•••••• P••••••• F• I• L••• | Private Equity Fund | $577M | 17 | Jun 15, 2022 |
| C••• C•••••• P••••••• I• C•• L••• | Private Equity Fund | $212M | 2 | Mar 31, 2022 |
| C••• C•••••• P••••••• I•• L•••no longer reported | Venture Capital Fund | $101M | 80 | Mar 30, 2012 |
| C••• C•••••• P••••••• I•••• L••• | Private Equity Fund | $95.0M | 29 | Feb 1, 2013 |
| C••• C•••••• T• S••• L••• | Other Private Fund | $45.9M | 5 | Mar 29, 2018 |
| C••• C•••••• P••••••• F••• I•• L•••no longer reported | Venture Capital Fund | $42.4M | 4 | Mar 30, 2012 |
| S••• S••• L••• | Private Equity Fund | $36.6M | 2 | Mar 31, 2022 |
| S••• I• S••• L••• | Private Equity Fund | $33.6M | 2 | Mar 31, 2022 |
| C••• C•••••• P••••••• F••• I• S• C•• L••• | Private Equity Fund | $31.2M | 9 | Mar 31, 2022 |
| C••• C•••••• P••••••• I••• L••• | Venture Capital Fund | $23.1M | 25 | Mar 30, 2012 |
| C••• C•••••• P•••••••• L•••no longer reported | Venture Capital Fund | $1.6M | 92 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• W••••••• F••• · President, Directorcontrolsince 06/2004 · owns 50% to 75%
- K••••••• R•••••••• S••••• · Chief Financial Officer | Chief Compliance Officercontrolsince 07/2008 · owns less than 5%
- L•••••• M•••• J•••••• · Secretary, Directorcontrolsince 06/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••• E••••• P••••••• F• I• L•••••pooled vehicle sponsorn
- C••• E••••• P••••••• I• C•• L•••••pooled vehicle sponsorn
- C••• E••••• P••••••• I•••• L•••••pooled vehicle sponsorn
- C••• E••••• P••••••• I•• L•••••pooled vehicle sponsorn
- C••• E••••• P••••••• I••• L•••••pooled vehicle sponsorn
- C••• E••••• P••••••• T• S••• L•••••pooled vehicle sponsorn
- S••• S•• E••••• P•••••••• L•••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.3B to $1.3BMar 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.3B to $1.3BMar 20, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.3B to $1.3BMar 20, 2025 to Mar 27, 2026
- RAUM · $1.3B to $1.3BMar 20, 2025 to Mar 27, 2026
- Assets in custody · $1.1B to $1.3BSep 6, 2024 to Mar 20, 2025
- Financial planning clients · unset to Sep 6, 2024 to Mar 20, 2025
- HQ city · unset to Sep 6, 2024 to Mar 20, 2025
- HQ state · unset to Sep 6, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.1B to $1.3BSep 6, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $1.1B to $1.3BSep 6, 2024 to Mar 20, 2025
- RAUM · $1.1B to $1.3BSep 6, 2024 to Mar 20, 2025
- HQ city · WASHINGTON to unsetApr 19, 2024 to Sep 6, 2024
- HQ state · DC to unsetApr 19, 2024 to Sep 6, 2024
- Assets in custody · $1.0B to $1.1BMar 20, 2024 to Apr 19, 2024
- Discretionary RAUM · $1.0B to $1.1BMar 20, 2024 to Apr 19, 2024
- Pooled vehicle RAUM · $1.0B to $1.1BMar 20, 2024 to Apr 19, 2024
- RAUM · $1.0B to $1.1BMar 20, 2024 to Apr 19, 2024
- Assets in custody · $686M to $1.0BMar 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $686M to $1.0BMar 30, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $686M to $1.0BMar 30, 2023 to Mar 20, 2024
- RAUM · $686M to $1.0BMar 30, 2023 to Mar 20, 2024
- Accounts · 12 to 14Nov 15, 2022 to Mar 30, 2023
- Assets in custody · $367M to $686MNov 15, 2022 to Mar 30, 2023
- Discretionary RAUM · $596M to $686MNov 15, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $596M to $686MNov 15, 2022 to Mar 30, 2023
- RAUM · $596M to $686MNov 15, 2022 to Mar 30, 2023
- Accounts · 11 to 12Mar 31, 2022 to Jun 15, 2022
- Pooled vehicle clients · 8 to 9Mar 31, 2022 to Jun 15, 2022
- Private funds · 7 to 8Mar 31, 2022 to Jun 15, 2022
- Discretionary RAUM · $367M to $596MMar 31, 2022 to Jun 15, 2022
- Pooled vehicle RAUM · $367M to $596MMar 31, 2022 to Jun 15, 2022
- RAUM · $367M to $596MMar 31, 2022 to Jun 15, 2022
- Accounts · 7 to 11Jan 4, 2022 to Mar 31, 2022
- Pooled vehicle clients · 5 to 8Jan 4, 2022 to Mar 31, 2022
- Assets in custody · $289M to $367MJan 4, 2022 to Mar 31, 2022
- Private funds · 4 to 7Jan 4, 2022 to Mar 31, 2022
- Discretionary RAUM · $289M to $367MJan 4, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $289M to $367MJan 4, 2022 to Mar 31, 2022
- RAUM · $289M to $367MJan 4, 2022 to Mar 31, 2022
- Accounts · 9 to 7Mar 30, 2020 to Mar 30, 2021
Signals
4 dated events
- C••• C•••••• P••••••• reported RAUM $1.0B, up 53% from $686.0M (2023-03-30 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- C••• C•••••• P••••••• reported RAUM $596.3M, up 63% from $366.9M (2022-03-31 to 2022-06-15)Jun 15, 2022 · RAUM change · derived
- C••• C•••••• P••••••• reported RAUM $312.6M, up 60% from $195.3M (2019-06-21 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C••• C•••••• P••••••• filed its initial SEC registration (Form ADV)Jun 21, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••• C•••••• P••••••• · Private Equityshared crd · organization
- C••• C•••••• P••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (202) 589-0090reportedpublic record, Form ADV, Mar 27, 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