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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Latest filing Mar 26, 2018
First filing on the tape Jun 20, 2016 · 5 filings
RAUM
$104M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$104M gross assets
History
5 filings and snapshots on the tape
RAUM$104M as of Mar 26, 2018
Mar 31, 2017$266M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2018
Mar 31, 20170 then
Employees (5.A)5 as of Mar 26, 2018
Mar 31, 20176 then
Private funds1 as of Mar 26, 2018
Mar 31, 20171 then
RAUM -61% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2018; 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
- $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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -61%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$104M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• D••••• E••••• F••• L•••••• | Hedge Fund | $104M | 102 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••••• R••••• · Managing Director / Chief Compliance Officercontrolsince 06/2016 · owns less than 5%
- T•••••• D•••••• F•••••• · Portfolio Managercontrolsince 06/2016 · owns less than 5%
- Z•••••• A••••••••• · Managing Directorcontrolsince 06/2016 · owns less than 5%
- T•••••• D•••••• F•••••• · Managing Membercontrolsince 06/2016 · owns 75% or more of D•• E••••• L••
Entity owners
- D•• E••••• L•• · General Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 31, 2017 to Mar 26, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 26, 2018
- Employees · 6 to 5Mar 31, 2017 to Mar 26, 2018
- HQ city · NEW YORK to unsetMar 31, 2017 to Mar 26, 2018
- HQ state · NY to unsetMar 31, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 26, 2018
- Discretionary RAUM · $266M to $104MMar 31, 2017 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 104304208.0Mar 31, 2017 to Mar 26, 2018
- RAUM · $266M to $104MMar 31, 2017 to Mar 26, 2018
- Advisory employees · 4 to 5Aug 1, 2016 to Mar 31, 2017
- Employees · 5 to 6Aug 1, 2016 to Mar 31, 2017
- Discretionary RAUM · $160M to $266MAug 1, 2016 to Mar 31, 2017
- RAUM · $160M to $266MAug 1, 2016 to Mar 31, 2017
- Accounts · unset to 1.0Jun 24, 2016 to Aug 1, 2016
- Private funds · unset to 1Jun 24, 2016 to Aug 1, 2016
- Discretionary RAUM · unset to 159723564.0Jun 24, 2016 to Aug 1, 2016
- Non-discretionary RAUM · unset to 0.0Jun 24, 2016 to Aug 1, 2016
- RAUM · unset to 159723564.0Jun 24, 2016 to Aug 1, 2016
Signals
2 dated events
- D•• E••••• L• reported RAUM $104.3M, down 61% from $265.5M (2017-03-31 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- D•• E••••• L• filed its initial SEC registration (Form ADV)Jun 20, 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