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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SEC-registered adviser
P••••• W••••• A•••••••
Legal name D•••••• F•••• L••
Latest filing Aug 27, 2026
First filing on the tape Aug 26, 2022 · 10 filings
SEC status approved since Sep 28, 2022
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$104M
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
10 filings and snapshots on the tape
RAUM$104M as of Aug 27, 2026
Mar 30, 2023$85.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 27, 2026
Mar 30, 20231 then
Employees (5.A)5 as of Aug 27, 2026
Mar 30, 20233 then
Private funds4 as of Mar 29, 2024
Mar 30, 20234 then
RAUM +124% over the last fiscal year+6.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $104MderivedRAUM 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
- $104MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +124%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$104M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• I•••• Z••• F•• F••• L• | Hedge Fund | $53.1M | 81 | Mar 30, 2018 |
| D•••••• I•••• Z••• F•• F••• O••••••• L••• | Hedge Fund | $38.3M | 49 | Mar 30, 2018 |
| D•••••• J••••• L• | Hedge Fund | $10.9M | 22 | Mar 29, 2016 |
| D•••••• J••••• O••••••• L••• | Hedge Fund | $7.1M | 11 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• F••••• S•• · Chief Compliance Officer/Cfocontrolsince 01/2016 · owns 5% to 10%
- P•••••• M••••••• N••• · Chief Executive Officercontrolsince 01/2016 · owns 10% to 25%
- P•••••• M••••••• N••• · Trustee, M•••••• P••••• Trust D•••• O•••••• 20, 2020 And Any A••••••••• T••••••controlsince 10/2020 · owns 75% or more of M•••••• P••••• T••••• D•••• O•••••• 2•• 2••• A•• A•• A••••••••• T••••••
- P•••••• M••••••• N••• · LPcontrolsince 01/2016 · owns 25% to 50% of D•••••• H••••••• Q•••••••• P••••••••• L•••
Entity owners
- D•••••• H••••••• Q•••••••• P••••••••• L••• · Shareholderdirect · owns 25% to 50%
- D•••••• H•••••••• L••• · Shareholderdirect · owns 50% to 75%
- M•••••• P••••• T••••• D•••• O•••••• 2•• 2••• A•• A•• A••••••••• T•••••• · Owner And Memberindirect · owns 75% or more of P••••• I••••••••• F••••
- P••••• I••••••••• F•••• · Gpindirect · owns F of D•••••• H•••••••• L•••
- P••••• I••••••••• F•••• · Gpindirect · owns F of D•••••• H••••••• Q•••••••• P••••••••• L•••
Related persons
Schedule D 7.A
- P••••• I••••••••• F••••investment adviserpooled vehicle sponsoryRAUM $936M
Advisers that list P••••• W••••• A••••••• as a related person
- 161471 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 6 to 5Oct 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $46.5M to $104MOct 30, 2025 to Mar 31, 2026
- RAUM · $46.5M to $104MOct 30, 2025 to Mar 31, 2026
- Business name · D•••••• F•••• L•• to P••••• W••••• A•••••••Mar 31, 2025 to Oct 30, 2025
- Accounts · 6 to 1Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 3 to 1Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4.0 to unsetMar 29, 2024 to Mar 31, 2025
- Assets in custody · 109415505.0 to unsetMar 29, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 29, 2024 to Mar 31, 2025
- Employees · 4 to 6Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 4 to unsetMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $116M to $46.5MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · 109415505.0 to unsetMar 29, 2024 to Mar 31, 2025
- RAUM · $116M to $46.5MMar 29, 2024 to Mar 31, 2025
- Accounts · 4 to 6Jan 16, 2024 to Mar 29, 2024
- BD registered reps · 0 to 1Jan 16, 2024 to Mar 29, 2024
- Assets in custody · $85.9M to $109MJan 16, 2024 to Mar 29, 2024
- Employees · 3 to 4Jan 16, 2024 to Mar 29, 2024
- Discretionary RAUM · $85.9M to $116MJan 16, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $85.9M to $109MJan 16, 2024 to Mar 29, 2024
- RAUM · $85.9M to $116MJan 16, 2024 to Mar 29, 2024
- HQ city · AUSTIN to WEST LAKE HILLSOct 11, 2023 to Jan 16, 2024
- Advisory activities · 2 to 3May 18, 2023 to Oct 11, 2023
- Assets in custody · $87.7M to $85.9MAug 26, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 1Aug 26, 2022 to Mar 30, 2023
- Private funds · 8 to 4Aug 26, 2022 to Mar 30, 2023
- Discretionary RAUM · $87.7M to $85.9MAug 26, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $87.7M to $85.9MAug 26, 2022 to Mar 30, 2023
- RAUM · $87.7M to $85.9MAug 26, 2022 to Mar 30, 2023
Signals
1 dated events
- D•••••• F•••• L•• filed its initial SEC registration (Form ADV)Aug 26, 2022 · 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
- Firm profile
- linkedin.com/company/wagonsetfreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/dhandho-funds-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- wagonsetf.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512.999.7110reportedpublic record, Form ADV, Aug 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026