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••• P••••••• ••••••• L••

Former SEC-registered adviserL•••••, CRD 163895SEC 801-107759IAPD
Latest filing Oct 19, 2022
First filing on the tape Apr 22, 2016 · 13 filings
RAUM
$4.0M
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
10
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$10.6M gross assets
History
13 filings and snapshots on the tape
RAUM$4.0M as of Mar 25, 2022
Mar 30, 2017$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2022
Mar 30, 20170 then
Employees (5.A)10 as of Mar 25, 2022
Mar 30, 201717 then
Private funds1 as of Mar 25, 2022
Mar 30, 20173 then
RAUM -100% over the last fiscal year-87% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 19, 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
$1.3MderivedRAUM 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
-100%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
Custody
yesreportedItem 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)
  • 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)
  • 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$4.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
n/areported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••• M••••• F•••no longer reportedHedge Fund$885M28Jun 27, 2014
      D••• L••••••••• E••••• M••••• F•••no longer reportedHedge Fund$385M29May 14, 2012
      D••• N•••••• M•••••no longer reportedHedge Fund$170M1Apr 22, 2016
      D••• A••••• M••••• F•••Hedge Fund$10.6M0Mar 25, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• J••••• E•••••• · Ceo, Directorcontrol
        since 12/2015 · owns less than 5%
      • S••••• S••••••• A•••••• · Chief Compliance Officer, Chief Operating Officer, Chief Financial Officer And Money Laundering Officer, Directorcontrol
        since 07/2019 · owns less than 5%
      • D••••• J••••• E•••••• · Shareholdercontrol
        since 09/2011 · owns 75% or more of D••• C••••• L••••••
      • D••••• J••••• E•••••• · L•••••• Partnercontrol
        since 09/2011 · owns 75% or more of D••• C••••• L•
      Entity owners
      • D••• C•••••• P••••••• L•• · Owner
        direct · owns 75% or more
      • D••• C••••• L•••••• · General Partner
        indirect · owns F of D••• C••••• L•
      • D••• C••••• L• · Corporate Owners
        indirect · owns 75% or more of D••• C•••••• P••••••• L••
      Related persons
      Schedule D 7.A
      • D••• C••••• G• L••••••
        pooled vehicle sponsorn
      • D••• C••••• L•
        pooled vehicle sponsorn
      Advisers that list D••• P••••••• ••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 3
        Mar 30, 2021 to Mar 25, 2022
      • Advisory employees · 10 to 0
        Mar 30, 2021 to Mar 25, 2022
      • Pooled vehicle clients · 6 to 3
        Mar 30, 2021 to Mar 25, 2022
      • Employees · 24 to 10
        Mar 30, 2021 to Mar 25, 2022
      • Discretionary RAUM · $1.8B to $4.0M
        Mar 30, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $1.8B to $4.0M
        Mar 30, 2021 to Mar 25, 2022
      • RAUM · $1.8B to $4.0M
        Mar 30, 2021 to Mar 25, 2022
      • Related adviser · true to false
        Mar 30, 2021 to Mar 25, 2022
      • Related bank · true to false
        Mar 30, 2021 to Mar 25, 2022
      • Accounts · 8 to 6
        Mar 19, 2020 to Mar 30, 2021
      • Advisory employees · 14 to 10
        Mar 19, 2020 to Mar 30, 2021
      • Advisory activities · 2 to 1
        Mar 19, 2020 to Mar 30, 2021
      • Employees · 27 to 24
        Mar 19, 2020 to Mar 30, 2021
      • Private funds · 2 to 1
        Mar 19, 2020 to Mar 30, 2021
      • Discretionary RAUM · $1.6B to $1.8B
        Mar 19, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $1.3B to $1.8B
        Mar 19, 2020 to Mar 30, 2021
      • RAUM · $1.6B to $1.8B
        Mar 19, 2020 to Mar 30, 2021
      • Accounts · 10 to 8
        Dec 16, 2019 to Mar 19, 2020
      • Advisory employees · 15 to 14
        Dec 16, 2019 to Mar 19, 2020
      • Pooled vehicle clients · 8 to 6
        Dec 16, 2019 to Mar 19, 2020
      • Private funds · 3 to 2
        Dec 16, 2019 to Mar 19, 2020
      • Discretionary RAUM · $1.8B to $1.6B
        Dec 16, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · $1.6B to $1.3B
        Dec 16, 2019 to Mar 19, 2020
      • RAUM · $1.8B to $1.6B
        Dec 16, 2019 to Mar 19, 2020
      • Advisory employees · 12 to 15
        Mar 29, 2018 to Apr 10, 2019
      • Assets in custody · unset to 0.0
        Mar 29, 2018 to Apr 10, 2019
      • Custody of client assets · false to true
        Mar 29, 2018 to Apr 10, 2019
      • Employees · 18 to 27
        Mar 29, 2018 to Apr 10, 2019
      • Discretionary RAUM · $2.8B to $1.8B
        Mar 29, 2018 to Apr 10, 2019
      • Pooled vehicle RAUM · $2.3B to $1.6B
        Mar 29, 2018 to Apr 10, 2019
      • RAUM · $2.8B to $1.8B
        Mar 29, 2018 to Apr 10, 2019
      • Accounts · 11 to 10
        Sep 27, 2017 to Mar 29, 2018
      • Advisory employees · 11 to 12
        Sep 27, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 8.0
        Sep 27, 2017 to Mar 29, 2018
      • Employees · 17 to 18
        Sep 27, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 27, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.5B to $2.8B
        Sep 27, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2310191365.0
        Sep 27, 2017 to Mar 29, 2018
      • RAUM · $1.5B to $2.8B
        Sep 27, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.2B to $1.5B
        Mar 30, 2017 to Sep 27, 2017
      Signals
      9 dated events
      • D••• P••••••• ••••••• L•• reported RAUM $4.0M, down 100% from $1.8B (2021-03-30 to 2022-03-25)
        Mar 25, 2022 · RAUM change · derived
      • Nmn Guy Shahar (Shareholder) no longer on Schedule A of D••• P••••••• ••••••• L•• (listed 2021-03-30, absent 2022-03-25)
        Mar 25, 2022 · Control person left · inference
      • Nmn Philip Goldsmith (Co-Head Of Research) no longer on Schedule A of D••• P••••••• ••••••• L•• (listed 2019-12-16, absent 2020-03-19)
        Mar 19, 2020 · Control person left · inference
      • Arthur Seth Kirkham (Co-Head Of Research) no longer on Schedule A of D••• P••••••• ••••••• L•• (listed 2019-12-16, absent 2020-03-19)
        Mar 19, 2020 · Control person left · inference
      • John Steven Chapman (Director, Chief Compliance Officer, Chief Operating Officer And Money Laundering Officer) no longer on Schedule A of D••• P••••••• ••••••• L•• (listed 2019-04-10, absent 2019-12-16)
        Dec 16, 2019 · Control person left · inference
      • Anthony Stephen Sales (Chief Compliance Officer, Chief Operating Officer, Chief Financial Officer And Money Laundering Officer) appeared on Schedule A of D••• P••••••• ••••••• L••
        Dec 16, 2019 · Control person joined · fact
      • D••• P••••••• ••••••• L•• reported RAUM $1.8B, down 36% from $2.8B (2018-03-29 to 2019-04-10)
        Apr 10, 2019 · RAUM change · derived
      • D••• P••••••• ••••••• L•• reported RAUM $2.8B, up 89% from $1.5B (2017-09-27 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • D••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 22, 2016 · First SEC registration · 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