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•••••••• P••••••••• L••

Former SEC-registered adviserLondon, CRD 302066SEC 801-117211IAPD
Latest filing Aug 29, 2019
First filing on the tape Jul 21, 2019 · 2 filings
RAUM
$2.3B
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
32
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$2.3B as of Aug 29, 2019
Jul 21, 2019$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 29, 2019
Jul 21, 20190 then
Employees (5.A)32 as of Aug 29, 2019
Jul 21, 201932 then
Private funds: no history
Practice profile
derived from the filing of Aug 29, 2019; 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
$585MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.5%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 vehicles, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.2B94%
  • Other investment advisers$86.1M3.7%
  • Pension and profit-sharing plans$57.5M2.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• L••••••• E•••••• · Senior Partner And Signifcant Controllercontrol
        since 06/2006 · owns 25% to 50%
      • C•••••••• L••••••• E•••••• · Shareholdercontrol
        since 06/2006 · owns 25% to 50% of D••••• C•••••• ••••••••• L••••••
      • V•• L••••••••• W•••• · Shareholdercontrol
        since 06/2016 · owns 25% to 50% of D••••• C•••••• ••••••••• L••••••
      • A•••••• T•• · Chief Operating Officer
        since 06/2009 · owns less than 5%
      • C••••••• M••••••• P•••••• · Chief Financial Officer
        since 09/2004 · owns less than 5%
      • J••••• R•••••• · Head Of Distribution
        since 03/2006 · owns less than 5%
      • L•••••• W•••• · Cco
        since 09/2018 · owns less than 5%
      • V•• L••••••••• W•••• · Ceo
        since 06/2016 · owns 10% to 25%
      Entity owners
      • D••••• C•••••• ••••••••• L•••••• · Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • D••••• C•••••• ••••••••• L••••••
        pooled vehicle sponsorn
      • D••••• C•••••• ••••••••• L••••••
        bankpooled vehicle sponsory
      • D••••• C•••••• •••••• I•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pension plan clients · unset to 1.0
        Jul 21, 2019 to Aug 29, 2019
      • Pooled vehicle clients · 1 to 2
        Jul 21, 2019 to Aug 29, 2019
      • Discretionary RAUM · $2.4B to $2.3B
        Jul 21, 2019 to Aug 29, 2019
      • Pension RAUM · unset to 57456857.0
        Jul 21, 2019 to Aug 29, 2019
      • Pooled vehicle RAUM · $2.1B to $2.2B
        Jul 21, 2019 to Aug 29, 2019
      • RAUM · $2.4B to $2.3B
        Jul 21, 2019 to Aug 29, 2019
      Signals
      1 dated events
      • D••••• S•••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 21, 2019 · 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