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•
Latest filing Jul 14, 2017
First filing on the tape Jun 15, 2016 · 5 filings
RAUM
$136M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$136M gross assets
History
5 filings and snapshots on the tape
RAUM$136M as of Jul 14, 2017
Jun 15, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 14, 2017
Jun 15, 20160 then
Employees (5.A)5 as of Jul 14, 2017
Jun 15, 20164 then
Private funds1 as of Jul 14, 2017
Oct 14, 20161 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 14, 2017; 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
- $45.2MderivedRAUM 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
- unknownderivedbetween 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
- $136M, 3 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $136M for 3 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• M••••• F••• L• | Hedge Fund | $136M | 28 | Oct 14, 2016 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• C••••••••• G••••• · Chief Operating Officer, Chief Compliance Officer, And G•••••• Counselcontrolsince 01/2016 · owns 5% to 10%
- K•••• T••• •••• · Portfolio Manager And Managing Member Of The G•••••• Partnercontrolsince 12/2015 · owns 75% or more
- M•••••• J•••• A••••• · Chief Financial Officercontrolsince 04/2016 · owns less than 5%
- K•••• T••• •••• · Managing Membercontrolsince 12/2015 · owns 75% or more of D•••••• C•••••• M••••••••• G• L••
Entity owners
- D•••••• C•••••• M••••••••• G• L•• · G•••••• Partner Of D•••••• C•••••• M••••••••• L•direct · owns less than 5%
Related persons
Schedule D 7.A
- D•••••• C•••••• G•••••• P•••••• L••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $0 to $136MOct 14, 2016 to Mar 31, 2017
- Discretionary RAUM · $37.1M to $136MOct 14, 2016 to Mar 31, 2017
- RAUM · $37.1M to $136MOct 14, 2016 to Mar 31, 2017
- Accounts · 0 to 3Jun 17, 2016 to Oct 14, 2016
- Advisory employees · 2 to 3Jun 17, 2016 to Oct 14, 2016
- Assets in custody · unset to 0.0Jun 17, 2016 to Oct 14, 2016
- Custody of client assets · false to trueJun 17, 2016 to Oct 14, 2016
- Employees · 4 to 5Jun 17, 2016 to Oct 14, 2016
- Private funds · unset to 1Jun 17, 2016 to Oct 14, 2016
- Discretionary RAUM · $0 to $37.1MJun 17, 2016 to Oct 14, 2016
- RAUM · $0 to $37.1MJun 17, 2016 to Oct 14, 2016
- Related bank · false to trueJun 17, 2016 to Oct 14, 2016
Signals
1 dated events
- D•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 15, 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