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••• F•••• A•••• M••••••••• L••
Latest filing Mar 31, 2023
First filing on the tape Jun 26, 2020 · 7 filings
RAUM
$154M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$154M gross assets
History
7 filings and snapshots on the tape
RAUM$154M as of Mar 30, 2023
Mar 30, 2021$220M then
HNW client RAUM: $4.9M
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 30, 20210 then
Employees (5.A)5 as of Mar 30, 2023
Mar 30, 20215 then
Private funds2 as of Mar 30, 2023
Mar 30, 20212 then
RAUM -35% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
- $38.6MderivedRAUM 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
- -35%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
- $154M, 4 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$154M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $154M for 4 clientsreported
- 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••• F•••• O••••••••• F•••• L••• | Hedge Fund | $144M | 28 | Mar 18, 2015 |
| D••• F•••• W••••• F•••• L•• | Private Equity Fund | $12.9M | 5 | Mar 26, 2024 |
| D••• F•••• S••••• F•••• L•• | Private Equity Fund | $10.5M | 2 | Mar 26, 2024 |
| D••• F•••• F•••• F•••• L•• | Private Equity Fund | $5.7M | 11 | Mar 31, 2022 |
| D••• F•••• G•••••• F•••• L•••no longer reported | Hedge Fund | $4.7M | 5 | Mar 28, 2018 |
| D••• T•••• L•• | Real Estate Fund | $4.1M | 2 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• J••••••• J••• · Cfo / Coocontrolsince 09/2014 · owns less than 5%
- M•••••• J•••••• S•••• · Managing Partner And Portfolio Managercontrolsince 08/2014 · owns 75% or more
- S••••••••• M•••• M••••• · Ccocontrolsince 02/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list D••• F•••• A•••• M••••••••• L•• as a related person
- 315464 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $236M to $154MFeb 22, 2023 to Mar 30, 2023
- Private funds · 3 to 2Feb 22, 2023 to Mar 30, 2023
- Discretionary RAUM · $236M to $154MFeb 22, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $236M to $154MFeb 22, 2023 to Mar 30, 2023
- RAUM · $236M to $154MFeb 22, 2023 to Mar 30, 2023
- Advisory activities · 2 to 1Mar 30, 2021 to Mar 31, 2022
- HNW clients · 1.0 to unsetMar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 4Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $215M to $236MMar 30, 2021 to Mar 31, 2022
- Private funds · 2 to 3Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $220M to $236MMar 30, 2021 to Mar 31, 2022
- HNW RAUM · 4887872.0 to unsetMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $215M to $236MMar 30, 2021 to Mar 31, 2022
- RAUM · $220M to $236MMar 30, 2021 to Mar 31, 2022
- Accounts · 1 to 4Jun 26, 2020 to Mar 30, 2021
- Advisory activities · 1 to 2Jun 26, 2020 to Mar 30, 2021
- HNW clients · unset to 1.0Jun 26, 2020 to Mar 30, 2021
- Pooled vehicle clients · 1 to 3Jun 26, 2020 to Mar 30, 2021
- Assets in custody · $156M to $215MJun 26, 2020 to Mar 30, 2021
- Employees · 4 to 5Jun 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $156M to $220MJun 26, 2020 to Mar 30, 2021
- HNW RAUM · unset to 4887872.0Jun 26, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $156M to $215MJun 26, 2020 to Mar 30, 2021
- RAUM · $156M to $220MJun 26, 2020 to Mar 30, 2021
Signals
2 dated events
- Mclynn Mark Strefling (Cco) appeared on Schedule A of D••• F•••• A•••• M••••••••• L••Feb 22, 2023 · Control person joined · fact
- D••• F•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 26, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••• F•••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/15738354reportedpublic record, Form ADV, Sep 19, 2026
- Website
- D•••F••••AM.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
Across the graphs
D••• F•••• A•••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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