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•••••• B••• I••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 27, 2012 · 31 filings
SEC status approved since Sep 4, 2012
RAUM
$5.7B
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$5.7B as of Mar 27, 2026
Mar 28, 2013$80.5M then
HNW client RAUM$35.5M as of Mar 27, 2019
Mar 29, 2018$29.6M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20131 then
Employees (5.A)7 as of Mar 27, 2026
Mar 28, 20138 then
Private funds2 as of Mar 19, 2025
Mar 28, 20131 then
RAUM +71% over the last fiscal year+39% 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
- $811MderivedRAUM 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
- +71%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.7B65%
- Pooled investment vehicles$2.0B35%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•• L••••• A••••••••• F••• | Hedge Fund | $64.1M | 2 | Mar 31, 2021 |
| D•• M•• G••••• F•••• L• | Hedge Fund | $11.1M | 8 | Mar 31, 2021 |
| B•••••••• A•••• A••••• F•••• L•••no longer reported | Hedge Fund | $2.0M | 3 | Mar 30, 2012 |
| I• D•• M•••••• F•••••• P•••••• H••••••• C••••• F•••no longer reported | Hedge Fund | $0 | 1 | Mar 29, 2023 |
| B•••••••• E••••••• M•••••••• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••• R••••• · Chief Compliance Officer And Chief Operating Officercontrolsince 02/2021 · owns less than 5%
- B•••• A•••••• D•••• · Managercontrolsince 01/2018 · owns less than 5%
- M••••••••• M••••••• A••••• · Managercontrolsince 01/2018 · owns less than 5%
- K•••••• D••••• P••• · Trusteecontrolsince 02/2022 · owns F of A••••• B••• F••••• T••••
- M••••••••• M••••••• A••••• · Managing Membercontrolsince 01/2018 · owns 25% to 50% of B•••••••• C•••••• H••••••• L••
Entity owners
- B•••••••• C•••••• H••••••• L•• · Memberdirect · owns 25% to 50%
- I• S••••• H•••••• 4• L•• · Memberdirect · owns 50% to 75%
- E•••••• S• · Parentindirect · owns 75% or more of L••••••• H•••••• 3•
- I• S••••• P••••••• H•••••• · Holding Companyindirect · owns 75% or more of I• S••••• H•••••• 4• L••
- I• S••••• S•• · Parentindirect · owns 75% or more of I• S••••• P••••••• H••••••
- J• D••••• H•••••• S•• · Shareholderindirect · owns 25% to 50% of E•••••• S•
- L••••••• H•••••• 3• · Holding Companyindirect · owns 50% to 75% of I• S••••• S••
- A••••• B••• F••••• T•••• · Memberindirect · owns 25% to 50% of B•••••••• C•••••• H••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 27, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-19, no on the filing of 2026-03-27peers: asset managers, $5B to $20B (684)
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-19, no on the filing of 2026-03-27peers: asset managers, $5B to $20B (684)
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $3,323,763,229 to $5,674,259,082 (+71.0%) between the annual amendments of 2025-03-19 and 2026-03-27; the peer median change was +13.0% (631 comparable advisers, 91.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 7Mar 19, 2025 to Mar 27, 2026
- Advisory activities · 2 to 3Mar 19, 2025 to Mar 27, 2026
- Assets in custody · $91.4M to $0Mar 19, 2025 to Mar 27, 2026
- Custody of client assets · true to falseMar 19, 2025 to Mar 27, 2026
- Employees · 5 to 7Mar 19, 2025 to Mar 27, 2026
- Private funds · 2 to unsetMar 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.3B to $5.7BMar 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.5B to $2.0BMar 19, 2025 to Mar 27, 2026
- RAUM · $3.3B to $5.7BMar 19, 2025 to Mar 27, 2026
- Assets in custody · $64.1M to $91.4MAug 19, 2024 to Mar 19, 2025
- Financial planning clients · unset to Aug 19, 2024 to Mar 19, 2025
- Private funds · 1 to 2Aug 19, 2024 to Mar 19, 2025
- Discretionary RAUM · $2.6B to $3.3BAug 19, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $1.3B to $1.5BAug 19, 2024 to Mar 19, 2025
- RAUM · $2.6B to $3.3BAug 19, 2024 to Mar 19, 2025
- Accounts · 10 to 8Mar 26, 2024 to Aug 19, 2024
- Pooled vehicle clients · 2 to 4Mar 26, 2024 to Aug 19, 2024
- Assets in custody · $70.1M to $64.1MMar 26, 2024 to Aug 19, 2024
- HQ city · NEW YORK to GREENWICHMar 26, 2024 to Aug 19, 2024
- HQ state · NY to CTMar 26, 2024 to Aug 19, 2024
- Private funds · 2 to 1Mar 26, 2024 to Aug 19, 2024
- Discretionary RAUM · $1.9B to $2.6BMar 26, 2024 to Aug 19, 2024
- Non-discretionary RAUM · $10.2M to $0Mar 26, 2024 to Aug 19, 2024
- Pooled vehicle RAUM · $70.1M to $1.3BMar 26, 2024 to Aug 19, 2024
- RAUM · $1.9B to $2.6BMar 26, 2024 to Aug 19, 2024
- Accounts · 9 to 10Mar 29, 2023 to Mar 26, 2024
- Pooled vehicle clients · 3 to 2Mar 29, 2023 to Mar 26, 2024
- Assets in custody · $89.0M to $70.1MMar 29, 2023 to Mar 26, 2024
- Private funds · 3 to 2Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.1B to $1.9BMar 29, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $32.3M to $10.2MMar 29, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $89.0M to $70.1MMar 29, 2023 to Mar 26, 2024
- RAUM · $2.1B to $1.9BMar 29, 2023 to Mar 26, 2024
- Accounts · 6 to 9Sep 21, 2022 to Mar 29, 2023
- Pooled vehicle clients · 4 to 3Sep 21, 2022 to Mar 29, 2023
- Assets in custody · $81.7M to $89.0MSep 21, 2022 to Mar 29, 2023
- Employees · 4 to 5Sep 21, 2022 to Mar 29, 2023
- Private funds · 2 to 3Sep 21, 2022 to Mar 29, 2023
- Discretionary RAUM · $720M to $2.1BSep 21, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $0 to $32.3MSep 21, 2022 to Mar 29, 2023
Signals
16 dated events
- D•••••• B••• I••••••••• L•• reported RAUM $5.7B, up 71% from $3.3B (2025-03-19 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- D•••••• B••• I••••••••• L•• reported RAUM $3.3B, up 25% from $2.6B (2024-08-19 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- D•••••• B••• I••••••••• L•• reported RAUM $2.6B, up 36% from $1.9B (2024-03-26 to 2024-08-19)Aug 19, 2024 · RAUM change · derived
- D•••••• B••• I••••••••• L•• reported RAUM $2.1B, up 195% from $720.4M (2022-09-21 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Paul David Kelley (Trustee) appeared on Schedule A of D•••••• B••• I••••••••• L••Sep 21, 2022 · Control person joined · fact
- Chai Eleanor Beer (Sole Member) no longer on Schedule A of D•••••• B••• I••••••••• L•• (listed 2022-03-29, absent 2022-04-29)Apr 29, 2022 · Control person left · inference
- D•••••• B••• I••••••••• L•• reported RAUM $720.4M, up 40% from $513.5M (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- D•••••• B••• I••••••••• L•• reported RAUM $513.5M, up 74% from $295.5M (2021-01-29 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Robert Jason Beckett (Director Of Operations) appeared on Schedule A of D•••••• B••• I••••••••• L••Mar 31, 2021 · Control person joined · fact
- Dianne Descoteaux (Chief Compliance Officer) appeared on Schedule A of D•••••• B••• I••••••••• L••Jan 29, 2021 · Control person joined · fact
- Bonaventura Taglialatela (Chief Financial Officer) no longer on Schedule A of D•••••• B••• I••••••••• L•• (listed 2020-03-30, absent 2021-01-29)Jan 29, 2021 · Control person left · inference
- Jay David Diamond (Chief Compliance Officer And General Counsel) no longer on Schedule A of D•••••• B••• I••••••••• L•• (listed 2020-03-30, absent 2021-01-29)Jan 29, 2021 · Control person left · inference
- Scott Douglas Cilento (Chief Operating Officer) no longer on Schedule A of D•••••• B••• I••••••••• L•• (listed 2020-03-30, absent 2021-01-29)Jan 29, 2021 · Control person left · inference
- D•••••• B••• I••••••••• L•• reported RAUM $251.5M, down 62% from $663.7M (2018-10-16 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- D•••••• B••• I••••••••• L•• reported RAUM $663.7M, up 27% from $521.5M (2018-01-23 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- B•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 27, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••••• B••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- dbi.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-837-7030reportedpublic 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