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••••• P•••••• G••••• M•••• A••••••• L•
Latest filing Mar 30, 2023
First filing on the tape Jun 30, 2017 · 10 filings
RAUM
$448M
reported, Item 5.F
Discretionary
13%
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$448M gross assets
History
10 filings and snapshots on the tape
RAUM$448M as of Mar 30, 2023
Feb 14, 2018$165M then
HNW client RAUM$46.5M as of Mar 29, 2019
Feb 14, 2018$69.5M then
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Feb 14, 20180 then
Employees (5.A)2 as of Mar 30, 2023
Feb 14, 20182 then
Private funds4 as of Mar 30, 2023
Feb 14, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2023; 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
- $112MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%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
- $448M, 4 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$448M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $448M for 4 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••••• P•••••• G••••• M•••• F••• L•• | Hedge Fund | $29.9M | 3 | Sep 29, 2017 |
| D••••• P•••••• I•• L• | Private Equity Fund | $22.6M | 6 | Sep 29, 2017 |
| D••••• P•••••• I• L• | Private Equity Fund | $12.3M | 6 | Mar 28, 2022 |
| D••••• P•••••• A•••••• L• | Private Equity Fund | $12.0M | 12 | Mar 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• M••••••• W••••••• · Partner/Cio/Ccocontrolsince 01/2017 · owns 50% to 75%
- M•••••• J•••• R• · Partnercontrolsince 01/2017 · owns 50% to 75%
- L••••••• M••••••• W••••••• · Managing Membercontrolsince 01/2017 · owns 50% to 75% of D••••• P•••••• G••••• M•••• G• L••
- M•••••• J•••• R• · Membercontrolsince 01/2017 · owns 50% to 75% of D••••• P•••••• G••••• M•••• G• L••
Entity owners
- D••••• P•••••• G••••• M•••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- D••••• P•••••• G••••• M•••• L••pooled vehicle sponsorn
- D••••• P•••••• I• G• L••pooled vehicle sponsorn
- D••••• P•••••• I• G•• L••pooled vehicle sponsorn
- D••••• P•••••• R• G•• L••pooled vehicle sponsorn
- D••••• P•••••• R• I•• G• L••pooled vehicle sponsorn
- D••••• P•••••• R• M••••••••• L••investment advisern
- D••••• P••••••investment adviserpooled vehicle sponsorn
- D••• M••••••••• C•••••• L••investment advisern
- J• M••••• C•••••• V•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · unset to 447914674.0May 16, 2022 to Mar 30, 2023
- Custody of client assets · false to trueMay 16, 2022 to Mar 30, 2023
- Private funds · 8 to 4May 16, 2022 to Mar 30, 2023
- Discretionary RAUM · $49.3M to $59.7MMay 16, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $334M to $388MMay 16, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $384M to $448MMay 16, 2022 to Mar 30, 2023
- RAUM · $384M to $448MMay 16, 2022 to Mar 30, 2023
- Accounts · 3 to 4Mar 29, 2019 to May 16, 2022
- Advisory activities · 2 to 1Mar 29, 2019 to May 16, 2022
- HNW clients · 1.0 to unsetMar 29, 2019 to May 16, 2022
- Pooled vehicle clients · 2 to 4Mar 29, 2019 to May 16, 2022
- Assets in custody · 0.0 to unsetMar 29, 2019 to May 16, 2022
- Private funds · 2 to 8Mar 29, 2019 to May 16, 2022
- Discretionary RAUM · $30.6M to $49.3MMar 29, 2019 to May 16, 2022
- HNW RAUM · 46535882.0 to unsetMar 29, 2019 to May 16, 2022
- Non-discretionary RAUM · $94.9M to $334MMar 29, 2019 to May 16, 2022
- Pooled vehicle RAUM · $79.0M to $384MMar 29, 2019 to May 16, 2022
- RAUM · $125M to $384MMar 29, 2019 to May 16, 2022
- Discretionary RAUM · $36.1M to $30.6MOct 4, 2018 to Mar 29, 2019
- HNW RAUM · $47.3M to $46.5MOct 4, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $83.7M to $79.0MOct 4, 2018 to Mar 29, 2019
- RAUM · $131M to $125MOct 4, 2018 to Mar 29, 2019
- HNW clients · unset to 1.0Feb 14, 2018 to Oct 4, 2018
- Discretionary RAUM · $25.0M to $36.1MFeb 14, 2018 to Oct 4, 2018
- HNW RAUM · $69.5M to $47.3MFeb 14, 2018 to Oct 4, 2018
- Non-discretionary RAUM · $140M to $94.9MFeb 14, 2018 to Oct 4, 2018
- Pooled vehicle RAUM · $95.8M to $83.7MFeb 14, 2018 to Oct 4, 2018
- RAUM · $165M to $131MFeb 14, 2018 to Oct 4, 2018
- Pooled vehicle clients · unset to 2.0Oct 2, 2017 to Oct 16, 2017
- HNW RAUM · unset to 69500000.0Oct 2, 2017 to Oct 16, 2017
- Pooled vehicle RAUM · unset to 95800000.0Oct 2, 2017 to Oct 16, 2017
- Other offices · unset to 0.0Sep 29, 2017 to Oct 2, 2017
- Accounts · unset to 3.0Jun 30, 2017 to Sep 29, 2017
- Assets in custody · unset to 0.0Jun 30, 2017 to Sep 29, 2017
- Private funds · unset to 2Jun 30, 2017 to Sep 29, 2017
- Discretionary RAUM · unset to 25000000.0Jun 30, 2017 to Sep 29, 2017
- Non-discretionary RAUM · unset to 140300000.0Jun 30, 2017 to Sep 29, 2017
- RAUM · unset to 165300000.0Jun 30, 2017 to Sep 29, 2017
Signals
4 dated events
- D••••• P•••••• G••••• M•••• A••••••• L• reported RAUM $383.6M, up 206% from $125.5M (2019-03-29 to 2022-05-16)May 16, 2022 · RAUM change · derived
- D•••• C••••• S••• (Chief Financial Officer) no longer on Schedule A of D••••• P•••••• G••••• M•••• A••••••• L• (listed 2019-03-29, absent 2022-05-16)May 16, 2022 · Control person left · inference
- J•••• R••• K•••••• (Cco) no longer on Schedule A of D••••• P•••••• G••••• M•••• A••••••• L• (listed 2019-03-29, absent 2022-05-16)May 16, 2022 · Control person left · inference
- D••••• P•••••• G••••• M•••• A••••••• L• filed its initial SEC registration (Form ADV)Jun 30, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••• P•••••• G••••• M•••• A••••••• L• · Independent Sponsorsshared crd · capital_provider
- D••••• P•••••• G••••• M•••• A••••••• L• · Private Equityshared crd · organization
- D••••• P•••••• G••••• M•••• A••••••• 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