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••• S••••• C•••••• L••
Latest filing Dec 2, 2022
First filing on the tape Jun 29, 2017 · 9 filings
RAUM
$155M
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
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$155M gross assets
History
9 filings and snapshots on the tape
RAUM$155M as of Mar 30, 2022
Mar 31, 2018$216M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 31, 20180 then
Employees (5.A)9 as of Mar 30, 2022
Mar 31, 201813 then
Private funds3 as of Mar 30, 2022
Mar 31, 20183 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 2, 2022; 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
- $51.5MderivedRAUM 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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $27,586, 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)
- 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
- Pooled investment vehicles$155M100%
- 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
- $27,586 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••• S••••• S••••• L•no longer reported | Private Equity Fund | $113M | 39 | Jun 29, 2021 |
| D••• S••••• C••••••••• L• | Private Equity Fund | $86.7M | 67 | Jun 29, 2017 |
| D••• S••••• C••••••••• I• L• | Private Equity Fund | $43.5M | 42 | Jun 29, 2021 |
| D••• S••••• P••• L• | Private Equity Fund | $24.3M | 38 | Jun 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••• J•••• E•••• · Manager / Chairman Of D••• S••••• C•••••• L••controlsince 11/2016 · owns less than 5%
- H••••• G•••••• B••••• · Manager Of D••• S••••• C•••••• L••controlsince 11/2016 · owns less than 5%
- M••••••• D•••••• J••••• · Chief Financial Officercontrolsince 11/2016 · owns less than 5%
- O•••••• I••• J•••• L••••••• · Manager Of D••• S••••• C•••••• L••controlsince 11/2016 · owns less than 5%
- R••••••••• R•••• O••• · Manager Of D••• S••••• C•••••• L••controlsince 11/2016 · owns less than 5%
- W•••••• L•••• A•• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- B•••••• A•••• D••• · Managing Membercontrolsince 03/2011 · owns 75% or more of Outpost Investment Holdings LLC
- B•••• J•••• E•••• · Membercontrolsince 10/2016 · owns 25% to 50% of Guacamole S•••••, LLC
- B•••• J•••• E•••• · Managing Membercontrolsince 10/2016 · owns 50% to 75% of Guacamole S•••••, LLC
- S•••••• D••••• G••••• · Managing Membercontrolsince 04/2013 · owns 75% or more of Sullivan Street Holdings LLC
Entity owners
- E•• D••• S•••••• L•• · Unitholder Of D••• S••••• C•••••• L••direct · owns 10% to 25%
Related persons
Schedule D 7.A
- D••• S••••• C••••••••• G•• L••pooled vehicle sponsorn
- D••• S••••• C••••••••• G•• L•pooled vehicle sponsorn
- D••• S••••• P•• G•• L••pooled vehicle sponsorn
- D••• S••••• P•• S••• L•pooled vehicle sponsorn
- D••• S••••• S•••• G•• L••pooled vehicle sponsorn
- D••• S••••• S•••• S••• L•pooled vehicle sponsorn
- F•••••• I••••••••• P•••••••investment adviserpooled vehicle sponsornRAUM $1.2B
Advisers that list D••• S••••• C•••••• L•• as a related person
- 310944 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Jul 6, 2021 to Mar 30, 2022
- Pooled vehicle clients · 4 to 3Jul 6, 2021 to Mar 30, 2022
- Assets in custody · $70,129 to $27,586Jul 6, 2021 to Mar 30, 2022
- Employees · 11 to 9Jul 6, 2021 to Mar 30, 2022
- Financial planning clients · 0 to unsetJul 6, 2021 to Mar 30, 2022
- Private funds · 4 to 3Jul 6, 2021 to Mar 30, 2022
- Discretionary RAUM · $266M to $155MJul 6, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $266M to $155MJul 6, 2021 to Mar 30, 2022
- RAUM · $266M to $155MJul 6, 2021 to Mar 30, 2022
- Private funds · 7 to 4Jun 29, 2021 to Jul 6, 2021
- Accounts · 3 to 4Sep 10, 2018 to Jun 29, 2021
- Advisory employees · 6 to 7Sep 10, 2018 to Jun 29, 2021
- BD registered reps · 1 to 0Sep 10, 2018 to Jun 29, 2021
- Pooled vehicle clients · 3 to 4Sep 10, 2018 to Jun 29, 2021
- Assets in custody · $0 to $70,129Sep 10, 2018 to Jun 29, 2021
- Employees · 13 to 11Sep 10, 2018 to Jun 29, 2021
- Financial planning clients · unset to 0Sep 10, 2018 to Jun 29, 2021
- Other offices · 1 to 0Sep 10, 2018 to Jun 29, 2021
- Private funds · 3 to 7Sep 10, 2018 to Jun 29, 2021
- Discretionary RAUM · $216M to $266MSep 10, 2018 to Jun 29, 2021
- Pooled vehicle RAUM · $216M to $266MSep 10, 2018 to Jun 29, 2021
- RAUM · $216M to $266MSep 10, 2018 to Jun 29, 2021
- Pooled vehicle clients · unset to 3.0Sep 28, 2017 to Mar 31, 2018
- Other offices · unset to 1.0Sep 28, 2017 to Mar 31, 2018
- Discretionary RAUM · $194M to $216MSep 28, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 215504570.0Sep 28, 2017 to Mar 31, 2018
- RAUM · $194M to $216MSep 28, 2017 to Mar 31, 2018
- Private funds · 5 to 3Jun 29, 2017 to Sep 28, 2017
Signals
6 dated events
- Joseph Bernard Frize (Chief Compliance Officer) no longer on Schedule A of D••• S••••• C•••••• L•• (listed 2022-03-30, absent 2022-12-02)Dec 2, 2022 · Control person left · inference
- Ann Lisa Walker (Chief Compliance Officer) appeared on Schedule A of D••• S••••• C•••••• L••Dec 2, 2022 · Control person joined · fact
- D••• S••••• C•••••• L•• reported RAUM $154.5M, down 42% from $265.7M (2021-07-06 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- John Douglas Preveza (Chief Compliance Officer) no longer on Schedule A of D••• S••••• C•••••• L•• (listed 2018-09-10, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Bernard Frize (Chief Compliance Officer) appeared on Schedule A of D••• S••••• C•••••• L••Jun 29, 2021 · Control person joined · fact
- D••• S••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••• S••••• C•••••• L•• · Private Equityshared crd · organization
- D••• S••••• C•••••• L•• · Venture Capitalshared crd · organization
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