DFX Intelligence
RIA Intelligence
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SEC-registered adviser
D••••• L••• C•••••• P••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Sep 6, 2019 · 22 filings
SEC status approved since Oct 9, 2019
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$113M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$117M as of Mar 24, 2026
Mar 27, 2020$38.8M then
HNW client RAUM$101M as of Mar 24, 2026
Mar 27, 2020$30.3M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 27, 20202 then
Employees (5.A)2 as of Mar 24, 2026
Mar 27, 20202 then
Private funds: no history
RAUM +9.7% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $58.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $539,945derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.8%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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
- High-net-worth individuals$101M86%
- Individuals$12.0M10%
- Charitable organizations$3.8M3.3%
- Individual clients
- 74reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 217reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• L••• H••••••••• J• | Miami, Fl | May 2, 2016 | 18 y | 0 |
| A•••••• L•••• O••••••• | Greenwich, Ct | May 2, 2016 | 16 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J•• S••••••• L••• · Co-Founder And Managing Partnercontrolsince 03/2016 · owns less than 5%
- O•••••••• A••••••• L•••• · Co-Founder And Managing Partner, Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- H••••••••• J•• S••••••• L••• · Managing Membercontrolsince 06/2019 · owns 75% or more of H••••••••• H••••••• L••
- O•••••••• A••••••• L•••• · Managing Membercontrolsince 06/2019 · owns 75% or more of C••••••••• V••••••• L••
Entity owners
- C••••••••• V••••••• L•• · Memberdirect · owns 50% to 75%
- H••••••••• H••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boston, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 235 to 217Dec 8, 2025 to Mar 24, 2026
- Charity clients · unset to 1.0Dec 8, 2025 to Mar 24, 2026
- HNW clients · 68 to 72Dec 8, 2025 to Mar 24, 2026
- Individual clients · 87 to 74Dec 8, 2025 to Mar 24, 2026
- Discretionary RAUM · $107M to $117MDec 8, 2025 to Mar 24, 2026
- HNW RAUM · $91.2M to $101MDec 8, 2025 to Mar 24, 2026
- Individual RAUM · $15.6M to $12.0MDec 8, 2025 to Mar 24, 2026
- RAUM · $107M to $117MDec 8, 2025 to Mar 24, 2026
- HQ city · SCARSDALE to GREENWICHMar 26, 2025 to Aug 20, 2025
- HQ state · NY to CTMar 26, 2025 to Aug 20, 2025
- Accounts · 219 to 235Jul 16, 2024 to Mar 26, 2025
- HNW clients · 61 to 68Jul 16, 2024 to Mar 26, 2025
- Individual clients · 88 to 87Jul 16, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jul 16, 2024 to Mar 26, 2025
- Discretionary RAUM · $98.4M to $107MJul 16, 2024 to Mar 26, 2025
- HNW RAUM · $82.4M to $91.2MJul 16, 2024 to Mar 26, 2025
- Individual RAUM · $16.0M to $15.6MJul 16, 2024 to Mar 26, 2025
- RAUM · $98.4M to $107MJul 16, 2024 to Mar 26, 2025
- Employees · 3 to 2Mar 26, 2024 to Jul 16, 2024
- Accounts · 207 to 219May 9, 2023 to Mar 26, 2024
- HNW clients · 59 to 61May 9, 2023 to Mar 26, 2024
- Individual clients · 85 to 88May 9, 2023 to Mar 26, 2024
- Discretionary RAUM · $83.7M to $98.4MMay 9, 2023 to Mar 26, 2024
- HNW RAUM · $69.6M to $82.4MMay 9, 2023 to Mar 26, 2024
- Individual RAUM · $14.1M to $16.0MMay 9, 2023 to Mar 26, 2024
- RAUM · $83.7M to $98.4MMay 9, 2023 to Mar 26, 2024
- Other offices · 2 to 1Mar 27, 2023 to May 9, 2023
- Accounts · 183 to 207Mar 31, 2022 to Mar 27, 2023
- HNW clients · 48 to 59Mar 31, 2022 to Mar 27, 2023
- Individual clients · 82 to 85Mar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $95.2M to $83.7MMar 31, 2022 to Mar 27, 2023
- HNW RAUM · $79.1M to $69.6MMar 31, 2022 to Mar 27, 2023
- Individual RAUM · $16.1M to $14.1MMar 31, 2022 to Mar 27, 2023
- RAUM · $95.2M to $83.7MMar 31, 2022 to Mar 27, 2023
- Accounts · 175 to 183Nov 16, 2021 to Mar 29, 2022
- HNW clients · 47 to 48Nov 16, 2021 to Mar 29, 2022
- Individual clients · 78 to 82Nov 16, 2021 to Mar 29, 2022
- Discretionary RAUM · $95.1M to $95.2MNov 16, 2021 to Mar 29, 2022
- HNW RAUM · $78.7M to $79.1MNov 16, 2021 to Mar 29, 2022
- Individual RAUM · $16.4M to $16.1MNov 16, 2021 to Mar 29, 2022
Signals
3 dated events
- Stanton Norman Schleifer (Cco) no longer on Schedule A of D••••• L••• C•••••• P••••••• L•• (listed 2024-03-26, absent 2024-07-16)Jul 16, 2024 · Control person left · inference
- Stanton Norman Schleifer (Cfo, Coo, And Cco) appeared on Schedule A of D••••• L••• C•••••• P••••••• L••Nov 16, 2021 · Control person joined · fact
- D••••• L••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Sep 6, 2019 · 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
- Business email
- info@dunhamlanecapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-607-6950reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- DunhamLaneCapital.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 203-355-3639reportedpublic record, Form ADV, Mar 24, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $58.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026