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•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 14, 2014 · 17 filings
SEC status approved since Apr 29, 2014
RAUM
$5.0M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$5.0M as of Mar 31, 2026
Mar 31, 2015$2.6M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 13, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20150 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20152 then
Private funds1 as of Mar 31, 2026
Mar 31, 20151 then
RAUM +72% over the last fiscal year-5.6% 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
- $5.0MderivedRAUM 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
- +72%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
- $5.0M, 1 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.0M for 1 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• C•••••• L• | Hedge Fund | $2.0M | 18 | Apr 14, 2014 |
| C••••• C••••••• L• | Hedge Fund | $800,000 | 18 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D• L• F••••• J••••••• R•••• · Manager And Chef Compliance Officercontrolsince 07/2013 · owns 50% to 75%
- Z•••• B•••••• J•••• M•••• · Managercontrolsince 07/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.9M to $5.0MMar 31, 2025 to Mar 31, 2026
- Private funds · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.9M to $5.0MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.9M to $5.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $2.9M to $5.0MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2024 to Mar 31, 2025
- HQ city · unset to Mar 31, 2024 to Mar 31, 2025
- HQ state · unset to Mar 31, 2024 to Mar 31, 2025
- Assets in custody · $59.5M to $2.9MJul 7, 2023 to Mar 31, 2024
- Discretionary RAUM · $6.0M to $2.9MJul 7, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $6.0M to $2.9MJul 7, 2023 to Mar 31, 2024
- RAUM · $6.0M to $2.9MJul 7, 2023 to Mar 31, 2024
- Assets in custody · $2.2M to $59.5MApr 1, 2022 to Jul 7, 2023
- Discretionary RAUM · $2.2M to $6.0MApr 1, 2022 to Jul 7, 2023
- Pooled vehicle RAUM · $2.2M to $6.0MApr 1, 2022 to Jul 7, 2023
- RAUM · $2.2M to $6.0MApr 1, 2022 to Jul 7, 2023
- Assets in custody · $1.7M to $2.2MMar 31, 2021 to Apr 1, 2022
- Discretionary RAUM · $1.7M to $2.2MMar 31, 2021 to Apr 1, 2022
- Pooled vehicle RAUM · $1.7M to $2.2MMar 31, 2021 to Apr 1, 2022
- RAUM · $1.7M to $2.2MMar 31, 2021 to Apr 1, 2022
- Accounts · 1 to 2Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 1 to 2Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $1.1M to $1.7MMar 30, 2020 to Mar 31, 2021
- Private funds · 1 to 2Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.1M to $1.7MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.1M to $1.7MMar 30, 2020 to Mar 31, 2021
- RAUM · $1.1M to $1.7MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $1.2M to $1.1MMar 30, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.2M to $1.1MMar 30, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.2M to $1.1MMar 30, 2019 to Mar 30, 2020
- RAUM · $1.2M to $1.1MMar 30, 2019 to Mar 30, 2020
- Assets in custody · $1.8M to $1.2MMar 13, 2018 to Mar 30, 2019
- Discretionary RAUM · $1.8M to $1.2MMar 13, 2018 to Mar 30, 2019
- Pooled vehicle RAUM · $1.8M to $1.2MMar 13, 2018 to Mar 30, 2019
- RAUM · $1.8M to $1.2MMar 13, 2018 to Mar 30, 2019
- Individual RAUM · unset to 0.0Mar 28, 2017 to Mar 13, 2018
- Pension RAUM · unset to 0.0Mar 28, 2017 to Mar 13, 2018
- Pooled vehicle RAUM · unset to 1796132.0Mar 28, 2017 to Mar 13, 2018
Signals
1 dated events
- D••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2014 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- + 34 618 949 450reportedpublic 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