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•••••• M••••••••• L•••

Former SEC-registered adviserStamford, ConnecticutCRD 281660SEC 801-113758IAPD
Latest filing Aug 3, 2020
First filing on the tape Jun 29, 2018 · 5 filings
RAUM
$133M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$108M gross assets
History
5 filings and snapshots on the tape
RAUM$133M as of Mar 31, 2020
Mar 29, 2019$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Mar 29, 20190 then
Employees (5.A)4 as of Mar 31, 2020
Mar 29, 20194 then
Private funds4 as of Mar 31, 2020
Mar 29, 20193 then
RAUM -15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 3, 2020; 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
$22.1MderivedRAUM 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
-15%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
$108M, 6 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$133M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$108M for 6 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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• C•••• C••••••••• P••••••• L••Private Equity Fund$20.9M10Mar 31, 2022
      D••••••••• A•• N••••••••• I• B•••Private Equity Fund$11.6M37Mar 30, 2018
      D••••••••• A•• F•••••• I• L•••Private Equity Fund$1.5M37Mar 30, 2018
      D••••••••• P•••••••• L•••Hedge Fund$244,86113Sep 30, 2015
      D••••••••• A•• N••••••••• I• B•••Hedge Fund$00Mar 31, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• T••••• C••••• · Chief Executive Officer/Chief Investment Officer/Limited Partnercontrol
        since 05/2015 · owns less than 5%
      • S•••••••• M••••••• G••••• · Chief Compliance Officer/Chief Financial Officercontrol
        since 06/2015 · owns less than 5%
      • A••••• T••••• C••••• · President/Shareholdercontrol
        since 03/2015 · owns 75% or more of D••••••••• G• I•••
      • C••••• N••••• T•••••• · Membercontrol
        since 07/2015 · owns 25% to 50% of E•• D••••••••• L••
      • K••••• E•••••• A•••••• · Membercontrol
        since 07/2015 · owns 25% to 50% of E•• D••••••••• L••
      • M••••••• F••••••• · Managing Membercontrol
        since 07/2015 · owns 25% to 50% of E•• D••••••••• L••
      Entity owners
      • D••••••••• G• I••• · General Partner
        direct · owns less than 5%
      • E•• D••••••••• L•• · Limited Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • D••••••••• A•• G• I• L••
        bankpooled vehicle sponsorn
      • D••••••••• A•• G• I• L••
        bankpooled vehicle sponsorn
      • D••••••••• P••••••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · NEW YORK to STAMFORD
        Mar 31, 2020 to Aug 3, 2020
      • HQ state · NY to CT
        Mar 31, 2020 to Aug 3, 2020
      • Assets in custody · $113M to $108M
        Aug 29, 2019 to Mar 31, 2020
      • Private funds · 3 to 4
        Aug 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $157M to $133M
        Aug 29, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $157M to $133M
        Aug 29, 2019 to Mar 31, 2020
      • RAUM · $157M to $133M
        Aug 29, 2019 to Mar 31, 2020
      • Advisory employees · 3 to 2
        Jun 29, 2018 to Mar 29, 2019
      • Assets in custody · $109M to $113M
        Jun 29, 2018 to Mar 29, 2019
      • Employees · 5 to 4
        Jun 29, 2018 to Mar 29, 2019
      • Private funds · 6 to 3
        Jun 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $182M to $157M
        Jun 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $182M to $157M
        Jun 29, 2018 to Mar 29, 2019
      • RAUM · $182M to $157M
        Jun 29, 2018 to Mar 29, 2019
      Signals
      1 dated events
      • D••••••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 29, 2018 · 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•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 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