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••• B•••• C•••••• L•

Former SEC-registered adviserStamford, ConnecticutCRD 288967SEC 801-110843IAPD
Latest filing Mar 26, 2021
First filing on the tape Jun 19, 2017 · 12 filings
RAUM
$938M
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
1
$698M gross assets
History
12 filings and snapshots on the tape
RAUM$938M as of Mar 26, 2021
Mar 21, 2018$203M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 21, 20180 then
Employees (5.A)14 as of Mar 26, 2021
Mar 21, 201811 then
Private funds1 as of Mar 26, 2021
Mar 21, 20181 then
RAUM -48% over the last fiscal year+67% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2021; 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
$156MderivedRAUM 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
-48%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$315M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • Pooled investment vehicles$852M91%
  • Investment companies$86.3M9.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$315M 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••• B•••• L••••••••• M••••• F••• L•Hedge Fund$698M27Nov 17, 2017
      D•• C•• M•••••• L•Hedge Fund$161M10Aug 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• C••••••••• G••••• · Chief Operating Officer, General Counsel And Chief Compliance Officercontrol
        since 05/2018 · owns 5% to 10%
      • S••••• M••••••• J•••• · Chief Executive Officer, Chief Investment Officer & Limited Partnercontrol
        since 02/2017 · owns 50% to 75%
      • O••••••••• J••••• P•••••• · Membercontrol
        since 05/2007 · owns 50% to 75% of O••••••••• F••••• P•••••••• L•••••
      • S••••• M••••••• J•••• · Managing Membercontrol
        since 02/2017 · owns 75% or more of D••• B•••• L••
      • M•••••••• D••••• G••••• · Limited Partner
        since 01/2019 · owns 5% to 10%
      • P••••• K•••• T••••• · Limited Partner
        since 01/2019 · owns 5% to 10%
      • S•••••• I••• M•••••• · Limited Partner
        since 08/2018 · owns 10% to 25%
      Entity owners
      • D••• B•••• L•• · General Partner
        direct · owns less than 5%
      • O••••••••• A•••• M••••••••• L••••• · Member
        indirect · owns 25% to 50% of I•••• L••
      • O••••••••• F••••• P•••••••• L••••• · Member
        indirect · owns 75% or more of O••••••••• A•••• M••••••••• L•••••
      • O••••••••• F••••• P•••••••• L••••• · Member
        indirect · owns 75% or more of I•••• L••
      • I•••• L•• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • D••• B•••• L••••••••• F••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Mar 30, 2020 to Mar 26, 2021
      • Advisory employees · 9 to 10
        Mar 30, 2020 to Mar 26, 2021
      • Pension plan clients · 1.0 to unset
        Mar 30, 2020 to Mar 26, 2021
      • Pooled vehicle clients · 6 to 5
        Mar 30, 2020 to Mar 26, 2021
      • Assets in custody · $606M to $315M
        Mar 30, 2020 to Mar 26, 2021
      • Private funds · 2 to 1
        Mar 30, 2020 to Mar 26, 2021
      • Discretionary RAUM · $1.8B to $938M
        Mar 30, 2020 to Mar 26, 2021
      • Pension RAUM · 65637000.0 to unset
        Mar 30, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $1.6B to $852M
        Mar 30, 2020 to Mar 26, 2021
      • RAUM · $1.8B to $938M
        Mar 30, 2020 to Mar 26, 2021
      • Accounts · 7 to 8
        Jan 3, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 5 to 6
        Jan 3, 2020 to Mar 30, 2020
      • Assets in custody · $634M to $606M
        Jan 3, 2020 to Mar 30, 2020
      • Employees · 12 to 14
        Jan 3, 2020 to Mar 30, 2020
      • Discretionary RAUM · $1.5B to $1.8B
        Jan 3, 2020 to Mar 30, 2020
      • Pension RAUM · $47.0M to $65.6M
        Jan 3, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.3B to $1.6B
        Jan 3, 2020 to Mar 30, 2020
      • RAUM · $1.5B to $1.8B
        Jan 3, 2020 to Mar 30, 2020
      • Private funds · 1 to 2
        Mar 28, 2019 to Aug 29, 2019
      • Accounts · 3 to 7
        May 18, 2018 to Mar 28, 2019
      • Advisory employees · 8 to 9
        May 18, 2018 to Mar 28, 2019
      • Advisory activities · 1 to 3
        May 18, 2018 to Mar 28, 2019
      • Pension plan clients · unset to 1.0
        May 18, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 3 to 5
        May 18, 2018 to Mar 28, 2019
      • Assets in custody · $94.6M to $634M
        May 18, 2018 to Mar 28, 2019
      • Employees · 11 to 12
        May 18, 2018 to Mar 28, 2019
      • Discretionary RAUM · $203M to $1.5B
        May 18, 2018 to Mar 28, 2019
      • Pension RAUM · unset to 46960000.0
        May 18, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $203M to $1.3B
        May 18, 2018 to Mar 28, 2019
      • RAUM · $203M to $1.5B
        May 18, 2018 to Mar 28, 2019
      • Assets in custody · $68.7M to $94.6M
        Nov 17, 2017 to Mar 21, 2018
      • Discretionary RAUM · $192M to $203M
        Nov 17, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · $192M to $203M
        Nov 17, 2017 to Mar 21, 2018
      • RAUM · $192M to $203M
        Nov 17, 2017 to Mar 21, 2018
      • Accounts · unset to 3.0
        Aug 24, 2017 to Nov 17, 2017
      • Advisory employees · 5 to 8
        Aug 24, 2017 to Nov 17, 2017
      • Pooled vehicle clients · unset to 3.0
        Aug 24, 2017 to Nov 17, 2017
      • Assets in custody · unset to 68727000.0
        Aug 24, 2017 to Nov 17, 2017
      • Custody of client assets · false to true
        Aug 24, 2017 to Nov 17, 2017
      • Employees · 6 to 11
        Aug 24, 2017 to Nov 17, 2017
      Signals
      3 dated events
      • D••• B•••• C•••••• L• reported RAUM $938.0M, down 48% from $1.8B (2020-03-30 to 2021-03-26)
        Mar 26, 2021 · RAUM change · derived
      • D••• B•••• C•••••• L• reported RAUM $1.5B, up 643% from $203.2M (2018-05-18 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • D••• B•••• C•••••• L• filed its initial SEC registration (Form ADV)
        Jun 19, 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.
      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