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••• A••••••• L••••••

Former SEC-registered adviserDouglas, CRD 172833SEC 801-81141IAPD
Latest filing Mar 17, 2017
First filing on the tape Mar 10, 2015 · 5 filings
RAUM
$146M
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$189M gross assets
History
5 filings and snapshots on the tape
RAUM$146M as of Mar 17, 2017
Mar 29, 2016$138M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2017
Mar 29, 20160 then
Employees (5.A)7 as of Mar 17, 2017
Mar 29, 20167 then
Private funds3 as of Mar 17, 2017
Mar 29, 20163 then
RAUM +5.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2017; 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
$48.6MderivedRAUM 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
+5.9%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 businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••••••• C•••••• I•• F••• L•Private Equity Fund$420M26Mar 26, 2019
      D••••••••• C•••••• I•• F••• ••••••••• A•••••• N••••••Private Equity Fund$199M6Mar 30, 2021
      D••••••••• C•••••• I• F••• L•••Private Equity Fund$177M11Nov 11, 2022
      D••••••••• C•••••• I• F••• L•Private Equity Fund$168M13Mar 10, 2015
      R••••••••• C••••••• L••••••Private Equity Fund$103M3Mar 10, 2015
      D••••••••• C•••••• I• C••••• F••• L•Private Equity Fund$52.9M2Mar 29, 2016
      D••••••••• C•••••• I•• A•••• F••• L•Private Equity Fund$39.1M9Mar 29, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• M••••••• A••••• · Executive Director And Ownercontrol
        since 07/2011 · owns 5% to 10%
      • K••••••••• C••••• W•••••• · Non Executive Director And Ultimate Beneficial Ownercontrol
        since 01/2013 · owns 10% to 25%
      • P••••••• A••••••••• M•••• · Executive Director And Ownercontrol
        since 07/2011 · owns 50% to 75%
      • P••••• A••••• · Non Executive Director And Ultimate Beneficial Ownercontrol
        since 01/2013 · owns 10% to 25%
      • R••••••• S•••• B••••••• · Executive Directorcontrol
        since 01/2013 · owns less than 5%
      • W•••••••• S•••• · Compliance Officer And Company Secretarycontrol
        since 07/2011 · owns less than 5%
      • A••••••••• A•••••••• · Independent Non Executive Director
        since 01/2017 · owns less than 5%
      • M•••• J•••• · Non Executive Director
        since 05/2016 · owns less than 5%
      • P••••••• C•••• · Independent Non Executive Director
        since 09/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list D••• A••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Mar 29, 2016 to Mar 17, 2017
      • Discretionary RAUM · $138M to $146M
        Mar 29, 2016 to Mar 17, 2017
      • RAUM · $138M to $146M
        Mar 29, 2016 to Mar 17, 2017
      • Accounts · 2 to 3
        Mar 18, 2015 to Mar 29, 2016
      • Private funds · 2 to 3
        Mar 18, 2015 to Mar 29, 2016
      • Discretionary RAUM · $83.4M to $138M
        Mar 18, 2015 to Mar 29, 2016
      • RAUM · $83.4M to $138M
        Mar 18, 2015 to Mar 29, 2016
      Signals
      1 dated events
      • D••• A••••••• L•••••• filed its initial SEC registration (Form ADV)
        Mar 10, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      D•••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 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
      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