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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SEC-registered adviser
D••••••••• C•••••• M••••••••• L•
Latest filing May 21, 2026
First filing on the tape Jun 24, 2020 · 12 filings
SEC status approved since Jul 24, 2020
RAUM
$442M
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$442M as of May 21, 2026
Mar 19, 2021$239M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 21, 2026
Mar 19, 20210 then
Employees (5.A)5 as of May 21, 2026
Mar 19, 20215 then
Private funds2 as of May 21, 2026
Mar 19, 20211 then
RAUM +30% over the last fiscal year-8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 21, 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
- $221MderivedRAUM 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
- +30%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
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$442M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• C••••••• S•• I•• L• | Private Equity Fund | $376M | 44 | Mar 21, 2023 |
| D••••••••• W••••• L• | Private Equity Fund | $260M | 37 | Mar 22, 2019 |
| D••••••••• W•••••• L•no longer reported | Private Equity Fund | $67.7M | 7 | Dec 5, 2017 |
| D••••••••• H••••• L•no longer reported | Private Equity Fund | $0 | 0 | Dec 5, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H••••• D••••• J••••• · Chief Compliance Officercontrolsince 06/2020 · owns 5% to 10%
- K•••••• P••••••• J••••• · Limited Partner/Partnercontrolsince 08/2022 · owns 25% to 50%
- S••••••• E•••• R••• · Limited Partner / Managing Partnercontrolsince 10/2017 · owns 25% to 50%
- S••••••• E•••• R••• · Managing Membercontrolsince 10/2017 · owns 50% to 75% of D••••••••• C•••••• P•••••••• L••
Entity owners
- D••••••••• C•••••• P•••••••• L•• · General Partnerdirect · owns less than 5%
- G••••• G•••• F•••••• ••••••• L•• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- D••••••••• C••••••• S•• I• G•• L•pooled vehicle sponsorn
- D••••••••• W••••• G• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 25, 2025 to Mar 24, 2026
- Employees · 4 to 5Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $340M to $442MMar 25, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $340M to $442MMar 25, 2025 to Mar 24, 2026
- RAUM · $340M to $442MMar 25, 2025 to Mar 24, 2026
- Employees · 6 to 4Feb 4, 2025 to Mar 25, 2025
- Financial planning clients · unset to Feb 4, 2025 to Mar 25, 2025
- Discretionary RAUM · $648M to $340MFeb 4, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · $648M to $340MFeb 4, 2025 to Mar 25, 2025
- RAUM · $648M to $340MFeb 4, 2025 to Mar 25, 2025
- Advisory employees · 5 to 4May 8, 2023 to Mar 27, 2024
- Employees · 5 to 6May 8, 2023 to Mar 27, 2024
- Discretionary RAUM · $576M to $648MMay 8, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $576M to $648MMay 8, 2023 to Mar 27, 2024
- RAUM · $576M to $648MMay 8, 2023 to Mar 27, 2024
- Accounts · 1 to 2Nov 2, 2022 to Mar 21, 2023
- Advisory employees · 4 to 5Nov 2, 2022 to Mar 21, 2023
- Pooled vehicle clients · 1 to 2Nov 2, 2022 to Mar 21, 2023
- Private funds · 1 to 2Nov 2, 2022 to Mar 21, 2023
- Discretionary RAUM · $230M to $576MNov 2, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $230M to $576MNov 2, 2022 to Mar 21, 2023
- RAUM · $230M to $576MNov 2, 2022 to Mar 21, 2023
- Discretionary RAUM · $239M to $230MMar 19, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $239M to $230MMar 19, 2021 to Mar 23, 2022
- RAUM · $239M to $230MMar 19, 2021 to Mar 23, 2022
- Private funds · 2 to 1Jun 24, 2020 to Mar 19, 2021
- Discretionary RAUM · $178M to $239MJun 24, 2020 to Mar 19, 2021
- Pooled vehicle RAUM · $178M to $239MJun 24, 2020 to Mar 19, 2021
- RAUM · $178M to $239MJun 24, 2020 to Mar 19, 2021
Signals
6 dated events
- D••••••••• C•••••• M••••••••• L• reported RAUM $442.0M, up 30% from $340.1M (2025-03-25 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- D••••••••• C•••••• M••••••••• L• reported RAUM $340.1M, down 48% from $647.9M (2025-02-04 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- D••••••••• C•••••• M••••••••• L• reported RAUM $576.4M, up 151% from $229.7M (2022-11-02 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- Joseph Patrick Khayat (Limited Partner/Partner) appeared on Schedule A of D••••••••• C•••••• M••••••••• L•Aug 30, 2022 · Control person joined · fact
- Robert Matthew Bradshaw (Limited Partner / Managing Partner) no longer on Schedule A of D••••••••• C•••••• M••••••••• L• (listed 2022-03-23, absent 2022-08-30)Aug 30, 2022 · Control person left · inference
- D••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 24, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- D••••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
- D••••••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- D•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-390-9161reportedpublic record, Form ADV, May 21, 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