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•••• M••••••••• L••••••

Former SEC-registered adviserLondon, CRD 269993SEC 801-107867IAPD
Latest filing Jul 26, 2022
First filing on the tape May 17, 2016 · 11 filings
RAUM
$136M
reported, Item 5.F
Discretionary
0.0%
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
42
27 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$136M as of Jun 27, 2022
Jun 23, 2016$1.2B then
HNW client RAUM$0 as of Jun 27, 2022
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 27, 2022
Jun 23, 20160 then
Employees (5.A)42 as of Jun 27, 2022
Jun 23, 201640 then
Private funds: no history
RAUM -8.7% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 26, 2022; 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
$136MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-8.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 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
Also answered yes on Form ADV
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$136M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• P•••• J••••••• · Director (Dam)/Chief Executive Officer (Dream)control
        since 04/2013 · owns less than 5%
      • L••••••••• S•••••••• M••••• · Chief Investment Officer (Dream)control
        since 02/2020 · owns less than 5%
      • O•••• A•••••• I••••• · Chief Operating Officer (Dream)control
        since 04/2013 · owns less than 5%
      • P••••• R••••• J••••••••• · Chief Compliance Officercontrol
        since 03/2016 · owns less than 5%
      • R••••••• J••••• W•••••• J••••• · Director (Dam)/Founder & Chairman (Dream)control
        since 04/2013 · owns less than 5%
      • R••••••• J••••• W•••••• J••••• · Owner Of Class B And Class D Sharescontrol
        since 11/2017 · owns 75% or more of C•••• H••••••• L••••••
      Entity owners
      • D••••••• R••• E••••• A•••• M••••••••• L•••••• · Owner
        direct · owns 75% or more
      • C•••• H••••••• L•••••• · Owner
        indirect · owns 75% or more of D••••••• R••• E••••• A•••• M••••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list D••••••• A•••• M••••••••• 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 · 29 to 27
        Jun 28, 2021 to Jun 27, 2022
      • Employees · 44 to 42
        Jun 28, 2021 to Jun 27, 2022
      • Non-discretionary RAUM · $149M to $136M
        Jun 28, 2021 to Jun 27, 2022
      • RAUM · $149M to $136M
        Jun 28, 2021 to Jun 27, 2022
      • Related broker-dealer · true to false
        Jun 28, 2021 to Jun 27, 2022
      • Accounts · 2 to 1
        Oct 20, 2020 to Jun 28, 2021
      • Advisory employees · 26 to 29
        Oct 20, 2020 to Jun 28, 2021
      • Advisory activities · 2 to 1
        Oct 20, 2020 to Jun 28, 2021
      • Employees · 41 to 44
        Oct 20, 2020 to Jun 28, 2021
      • Non-discretionary RAUM · $836M to $149M
        Oct 20, 2020 to Jun 28, 2021
      • RAUM · $836M to $149M
        Oct 20, 2020 to Jun 28, 2021
      • Employees · 39 to 41
        Mar 25, 2020 to Jun 27, 2020
      • Non-discretionary RAUM · $840M to $836M
        Mar 25, 2020 to Jun 27, 2020
      • RAUM · $840M to $836M
        Mar 25, 2020 to Jun 27, 2020
      • Advisory employees · 25 to 26
        Mar 25, 2020 to Jun 27, 2020
      • Accounts · 1 to 2
        Jun 29, 2018 to Jun 28, 2019
      • Advisory employees · 24 to 25
        Jun 29, 2018 to Jun 28, 2019
      • Advisory activities · 1 to 2
        Jun 29, 2018 to Jun 28, 2019
      • Corporate clients · unset to 1.0
        Jun 29, 2018 to Jun 28, 2019
      • Employees · 38 to 39
        Jun 29, 2018 to Jun 28, 2019
      • Non-discretionary RAUM · $884M to $840M
        Jun 29, 2018 to Jun 28, 2019
      • RAUM · $884M to $840M
        Jun 29, 2018 to Jun 28, 2019
      • Related broker-dealer · false to true
        Jun 29, 2018 to Jun 28, 2019
      • Accounts · 2 to 1
        Jun 29, 2017 to Jun 29, 2018
      • Advisory employees · 26 to 24
        Jun 29, 2017 to Jun 29, 2018
      • Advisory activities · 2 to 1
        Jun 29, 2017 to Jun 29, 2018
      • Charity clients · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • HNW clients · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Individual clients · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Pension plan clients · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Employees · 40 to 38
        Jun 29, 2017 to Jun 29, 2018
      • Other offices · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • HNW RAUM · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Individual RAUM · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Non-discretionary RAUM · $1.0B to $884M
        Jun 29, 2017 to Jun 29, 2018
      • Pension RAUM · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • RAUM · $1.0B to $884M
        Jun 29, 2017 to Jun 29, 2018
      • Accounts · 3 to 2
        Jun 23, 2016 to Jun 29, 2017
      Signals
      5 dated events
      • D••••••• A•••• M••••••••• L•••••• reported RAUM $148.9M, down 82% from $835.8M (2020-10-20 to 2021-06-28)
        Jun 28, 2021 · RAUM change · derived
      • Timothy Haden-Scott (Executive Director (Dream)) no longer on Schedule A of D••••••• A•••• M••••••••• L•••••• (listed 2020-06-27, absent 2020-10-20)
        Oct 20, 2020 · Control person left · inference
      • Stafford Lancaster (Executive Director (Dream)) appeared on Schedule A of D••••••• A•••• M••••••••• L••••••
        Mar 25, 2020 · Control person joined · fact
      • Barry Colin Wagman (Deputy Chairman/Chief Financial Officer (Dream)) no longer on Schedule A of D••••••• A•••• M••••••••• L•••••• (listed 2018-06-29, absent 2019-06-28)
        Jun 28, 2019 · Control person left · inference
      • D••••••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        May 17, 2016 · 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.
      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