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••••• C••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Jun 30, 2023 · 10 filings
SEC status approved since Aug 1, 2023
RAUM
$61.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$30.7M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$61.3M as of Jul 28, 2026
Mar 8, 2024$112M then
HNW client RAUM: $1.0M
State-registered IARs (5.B.3)1 as of Jul 28, 2026
Mar 8, 20241 then
Employees (5.A)4 as of Jul 28, 2026
Mar 8, 20246 then
Private funds1 as of Jul 28, 2026
Mar 8, 20241 then
RAUM -40% over the last fiscal yearIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
- RAUM per advisor
- $30.7MderivedRAUM 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
- $15.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -43%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $44.3M, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$60.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.3M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• M•••••• A••••••• | Mill Valley, Ca | May 19, 2022 | 24 y | 0 |
| C••••••••• J••• A•••••• | Mill Valley, Ca | Jan 8, 2026 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••• C•••••• F•••• L• | Hedge Fund | $69.6M | 83 | Jun 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• C••••••••• J••• · Managing Member Chief Investment Officer Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
- D••••• C•••••• F••• L•pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mill Valley, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Jun 18, 2026 to Jul 28, 2026
- Assets in custody · $41.7M to $44.3MApr 20, 2026 to Jun 18, 2026
- Discretionary RAUM · $58.3M to $61.3MApr 20, 2026 to Jun 18, 2026
- Pooled vehicle RAUM · $57.7M to $60.5MApr 20, 2026 to Jun 18, 2026
- RAUM · $58.3M to $61.3MApr 20, 2026 to Jun 18, 2026
- Assets in custody · $80.2M to $41.7MMar 31, 2026 to Apr 20, 2026
- Accounts · 6 to 4Apr 23, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Apr 23, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2Apr 23, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 3Apr 23, 2025 to Mar 31, 2026
- Employees · 5 to 4Apr 23, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 1Apr 23, 2025 to Mar 31, 2026
- Other offices · 1 to 0Apr 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $103M to $58.3MApr 23, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $103M to $57.7MApr 23, 2025 to Mar 31, 2026
- RAUM · $103M to $58.3MApr 23, 2025 to Mar 31, 2026
- Financial planning clients · unset to Feb 27, 2025 to Apr 23, 2025
- Accounts · 7 to 6Mar 8, 2024 to Feb 27, 2025
- Assets in custody · $69.5M to $80.2MMar 8, 2024 to Feb 27, 2025
- Employees · 6 to 5Mar 8, 2024 to Feb 27, 2025
- State-registered IARs · 1 to 2Mar 8, 2024 to Feb 27, 2025
- Other offices · 0 to 1Mar 8, 2024 to Feb 27, 2025
- Discretionary RAUM · $112M to $103MMar 8, 2024 to Feb 27, 2025
- HNW RAUM · 1002594.0 to unsetMar 8, 2024 to Feb 27, 2025
- Pooled vehicle RAUM · $110M to $103MMar 8, 2024 to Feb 27, 2025
- RAUM · $112M to $103MMar 8, 2024 to Feb 27, 2025
- Advisory employees · 2 to 3Jan 16, 2024 to Mar 8, 2024
- Assets in custody · $69.8M to $69.5MJan 16, 2024 to Mar 8, 2024
- Employees · 5 to 6Jan 16, 2024 to Mar 8, 2024
- Discretionary RAUM · $101M to $112MJan 16, 2024 to Mar 8, 2024
- HNW RAUM · $922,361 to $1.0MJan 16, 2024 to Mar 8, 2024
- Pooled vehicle RAUM · $99.6M to $110MJan 16, 2024 to Mar 8, 2024
- RAUM · $101M to $112MJan 16, 2024 to Mar 8, 2024
Signals
2 dated events
- D••••• C••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $61.3M)Sep 1, 2026 · Left the SEC roster · derived
- D••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2023 · 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
- Website
- D•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 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
- $30.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026