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•••••••••

Former SEC-registered adviserSyracuse, New YorkCRD 282235SEC 801-107062IAPD
Legal name D••••••••• C•••••• M••••••••• L••
Latest filing Nov 3, 2021
First filing on the tape Dec 11, 2015 · 11 filings
RAUM
$391M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.1%
$8.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 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$391M as of Mar 30, 2021
Mar 3, 2016$428M then
HNW client RAUM$5.0M as of Mar 30, 2021
Mar 15, 2018$7.0M then
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 3, 20160 then
Employees (5.A)5 as of Mar 30, 2021
Mar 3, 20164 then
Private funds: no history
RAUM -9.0% over the last fiscal year-6.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 3, 2021; 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
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
96%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
-9.0%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 assetsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$203M52%
  • Insurance companies$99.7M25%
  • Pension and profit-sharing plans$72.4M19%
  • Corporations and businesses$7.6M1.9%
  • High-net-worth individuals$5.0M1.3%
  • Individuals$3.2M0.8%
Individual clients
19reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
56reported
Accounts
88reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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••••• A•••• C•••• · President & Ceocontrol
        since 01/2018 · owns 75% or more
      • G••••• A•••• C•••• · Ownercontrol
        since 12/2009 · owns 75% or more of B•••••••• A•••• M••••••••• L••
      • C••••• S•••••• L•• · Chief Compliance Officer
        since 07/2015 · owns less than 5%
      • R•••• R•••••• J••• · Chief Investment Officer
        since 01/2018 · owns less than 5%
      Entity owners
      • B•••••••• A•••• M••••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list D••••••••• C•••••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 86 to 88
        Apr 8, 2020 to Mar 30, 2021
      • Charity clients · 59 to 56
        Apr 8, 2020 to Mar 30, 2021
      • HNW clients · 3.0 to unset
        Apr 8, 2020 to Mar 30, 2021
      • Individual clients · 12 to 19
        Apr 8, 2020 to Mar 30, 2021
      • Discretionary RAUM · $353M to $391M
        Apr 8, 2020 to Mar 30, 2021
      • HNW RAUM · $5.4M to $5.0M
        Apr 8, 2020 to Mar 30, 2021
      • Individual RAUM · $1.7M to $3.2M
        Apr 8, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $77.4M to $0
        Apr 8, 2020 to Mar 30, 2021
      • Pension RAUM · $69.4M to $72.4M
        Apr 8, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · unset to 0.0
        Apr 8, 2020 to Mar 30, 2021
      • RAUM · $430M to $391M
        Apr 8, 2020 to Mar 30, 2021
      • Accounts · 92 to 86
        Mar 21, 2019 to Apr 8, 2020
      • Charity clients · 61 to 59
        Mar 21, 2019 to Apr 8, 2020
      • HNW clients · 8 to 3
        Mar 21, 2019 to Apr 8, 2020
      • Individual clients · 11 to 12
        Mar 21, 2019 to Apr 8, 2020
      • Discretionary RAUM · $329M to $353M
        Mar 21, 2019 to Apr 8, 2020
      • HNW RAUM · $6.6M to $5.4M
        Mar 21, 2019 to Apr 8, 2020
      • Individual RAUM · $1.0M to $1.7M
        Mar 21, 2019 to Apr 8, 2020
      • Non-discretionary RAUM · $90.1M to $77.4M
        Mar 21, 2019 to Apr 8, 2020
      • Pension RAUM · $62.5M to $69.4M
        Mar 21, 2019 to Apr 8, 2020
      • RAUM · $419M to $430M
        Mar 21, 2019 to Apr 8, 2020
      • Accounts · 85 to 92
        Mar 15, 2018 to Mar 21, 2019
      • Advisory employees · 4 to 3
        Mar 15, 2018 to Mar 21, 2019
      • Charity clients · 56 to 61
        Mar 15, 2018 to Mar 21, 2019
      • Corporate clients · 12.0 to unset
        Mar 15, 2018 to Mar 21, 2019
      • HNW clients · 15 to 8
        Mar 15, 2018 to Mar 21, 2019
      • Individual clients · unset to 11.0
        Mar 15, 2018 to Mar 21, 2019
      • Employees · 6 to 5
        Mar 15, 2018 to Mar 21, 2019
      • Discretionary RAUM · $368M to $329M
        Mar 15, 2018 to Mar 21, 2019
      • HNW RAUM · $7.0M to $6.6M
        Mar 15, 2018 to Mar 21, 2019
      • Individual RAUM · unset to 1003865.0
        Mar 15, 2018 to Mar 21, 2019
      • Non-discretionary RAUM · $108M to $90.1M
        Mar 15, 2018 to Mar 21, 2019
      • Pension RAUM · $66.1M to $62.5M
        Mar 15, 2018 to Mar 21, 2019
      • RAUM · $475M to $419M
        Mar 15, 2018 to Mar 21, 2019
      • Accounts · 58 to 85
        Mar 7, 2017 to Mar 15, 2018
      • Charity clients · unset to 56.0
        Mar 7, 2017 to Mar 15, 2018
      • Corporate clients · unset to 12.0
        Mar 7, 2017 to Mar 15, 2018
      • HNW clients · unset to 15.0
        Mar 7, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Mar 7, 2017 to Mar 15, 2018
      • Discretionary RAUM · $366M to $368M
        Mar 7, 2017 to Mar 15, 2018
      Signals
      2 dated events
      • D••••••••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 11, 2015 · Succession (Item 4) · fact
      • D••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Dec 11, 2015 · 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