DFX Intelligence
RIA Intelligence
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SEC-registered adviser
D•••••••• C••••••• L•
Latest filing Mar 31, 2026
First filing on the tape May 5, 2017 · 16 filings
SEC status approved since Jul 3, 2017
RAUM
$1.4B
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
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2026
Mar 27, 2018$354M then
HNW client RAUM$0 as of Mar 28, 2019
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20180 then
Employees (5.A)14 as of Mar 31, 2026
Mar 27, 201811 then
Private funds2 as of Mar 31, 2026
Mar 27, 20183 then
RAUM +154% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $141MderivedRAUM 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
- +154%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
- Custody
- $993M, 6 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $993M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••••• T••• A•••• E••••••• M••••• N•••••• M••••• F•••• L• | Hedge Fund | $267M | 25 | Nov 1, 2017 |
| D•••••••• T••• A•••• M••••• N•••••• M••••• F•••• L• | Hedge Fund | $53.8M | 3 | Nov 1, 2017 |
| D•••••••• T••• A•••• S•• M••••• F•••• L•no longer reported | Hedge Fund | $1.3M | 2 | Nov 1, 2017 |
Owners and control persons
Schedule A and B, latest filing
- S••••••••• D••••• R•••••• · Chief Compliance Officer / Chief Operating Officercontrolsince 03/2020 · owns less than 5%
- T••••••• N••••••• C•••••••• · Limited Partnercontrolsince 12/2016 · owns 75% or more
Entity owners
- B•••••• V••••••• X•••• L••• · Limited Partnerdirect · owns 5% to 10%
- D•••••••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $556,524,863 to $1,412,859,014 (+154.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 97.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 97% percentile
What changed
consecutive filings, newest first
- Assets in custody · $351M to $993MMar 31, 2025 to Mar 31, 2026
- Employees · 13 to 14Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $557M to $1.4BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $557M to $1.4BMar 31, 2025 to Mar 31, 2026
- RAUM · $557M to $1.4BMar 31, 2025 to Mar 31, 2026
- Accounts · 9 to 10Mar 26, 2024 to Mar 31, 2025
- Advisory activities · 2 to 1Mar 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 6 to 10Mar 26, 2024 to Mar 31, 2025
- Assets in custody · $321M to $351MMar 26, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $558M to $557MMar 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $321M to $557MMar 26, 2024 to Mar 31, 2025
- RAUM · $558M to $557MMar 26, 2024 to Mar 31, 2025
- Advisory employees · 7 to 10Apr 29, 2023 to Mar 26, 2024
- Assets in custody · $248M to $321MApr 29, 2023 to Mar 26, 2024
- Employees · 9 to 13Apr 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $565M to $558MApr 29, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $248M to $321MApr 29, 2023 to Mar 26, 2024
- RAUM · $565M to $558MApr 29, 2023 to Mar 26, 2024
- Advisory employees · 4 to 7May 2, 2022 to Mar 27, 2023
- Assets in custody · $198M to $248MMay 2, 2022 to Mar 27, 2023
- Employees · 5 to 9May 2, 2022 to Mar 27, 2023
- Discretionary RAUM · $479M to $565MMay 2, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $198M to $248MMay 2, 2022 to Mar 27, 2023
- RAUM · $479M to $565MMay 2, 2022 to Mar 27, 2023
- Advisory employees · 7 to 4Mar 31, 2021 to Mar 29, 2022
- Assets in custody · $134M to $198MMar 31, 2021 to Mar 29, 2022
- Employees · 8 to 5Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $316M to $479MMar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $134M to $198MMar 31, 2021 to Mar 29, 2022
- RAUM · $316M to $479MMar 31, 2021 to Mar 29, 2022
- Accounts · 13 to 9Jan 7, 2021 to Mar 31, 2021
- Advisory employees · 10 to 7Jan 7, 2021 to Mar 31, 2021
- Pooled vehicle clients · 9 to 6Jan 7, 2021 to Mar 31, 2021
- Assets in custody · $130M to $134MJan 7, 2021 to Mar 31, 2021
- Employees · 11 to 8Jan 7, 2021 to Mar 31, 2021
- Private funds · 3 to 2Jan 7, 2021 to Mar 31, 2021
- Discretionary RAUM · $378M to $316MJan 7, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $130M to $134MJan 7, 2021 to Mar 31, 2021
- RAUM · $378M to $316MJan 7, 2021 to Mar 31, 2021
Signals
7 dated events
- D•••••••• C••••••• L• reported RAUM $1.4B, up 154% from $556.5M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D•••••••• C••••••• L• reported RAUM $478.5M, up 52% from $315.6M (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Noelle Madeleine Girr (Chief Compliance Officer) no longer on Schedule A of D•••••••• C••••••• L• (listed 2020-01-06, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Richard David Salvietti (Chief Compliance Officer / Chief Operating Officer) appeared on Schedule A of D•••••••• C••••••• L•Mar 30, 2020 · Control person joined · fact
- Noelle Madeleine Girr (Chief Compliance Officer) appeared on Schedule A of D•••••••• C••••••• L•Jan 6, 2020 · Control person joined · fact
- Andrew Peter Schaffer (Chief Operating Officer, Chief Compliance Officer) no longer on Schedule A of D•••••••• C••••••• L• (listed 2019-03-28, absent 2020-01-06)Jan 6, 2020 · Control person left · inference
- D•••••••• C••••••• L• filed its initial SEC registration (Form ADV)May 5, 2017 · 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
- Website
- D••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 617-443-2020reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026