DFX Intelligence
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SEC-registered adviser
A•••• P•••••• C••••••
Latest filing Jun 29, 2026
First filing on the tape Sep 13, 2019 · 21 filings
SEC status approved since Oct 11, 2019
RAUM
$226M
reported, Item 5.F
Discretionary
11%
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
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$226M as of Jun 29, 2026
Feb 6, 2020$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Feb 6, 20200 then
Employees (5.A)6 as of Jun 29, 2026
Feb 6, 20202 then
Private funds2 as of Jun 29, 2026
Feb 6, 20201 then
RAUM +28% over the last fiscal year+15% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Jun 29, 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
- $75.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 11%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $226M, 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 custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$225M99%
- Corporations and businesses$1.2M0.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $226M for 3 clientsreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• I• L•••••• P••••••••• | Private Equity Fund | $123M | 3 | Sep 13, 2019 |
| R•••••••• R••••• F•••• L•no longer reported | Private Equity Fund | $26,117 | 0 | Mar 24, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• G•••••••• · Managing Membercontrolsince 09/2014 · owns less than 5%
- M•••••••• M•••• A•••••• · Chief Operating Officercontrolsince 02/2021 · owns less than 5%
- N••••••••• A•••• M•••• · Managing Member/ Ceocontrolsince 07/2014 · owns less than 5%
- B•••••• R•••••• G•••••••• · Managing Membercontrolsince 07/2014 · owns 25% to 50% of G•••• L••
- N••••••••• A•••• M•••• · Managing Membercontrolsince 07/2014 · owns 50% to 75% of G•••• L••
- S••••••••• D•••• · Managing Membercontrolsince 07/2014 · owns 75% or more of S••••• M•••••••••
- H••••• T••• · Chief Compliance Officersince 02/2023 · owns less than 5%
Entity owners
- G•••• L•• · Managing Memberdirect · owns 75% or more
- S••••• M••••••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 2 to 3Jun 23, 2025 to Mar 26, 2026
- Pooled vehicle clients · 1 to 2Jun 23, 2025 to Mar 26, 2026
- Assets in custody · $177M to $226MJun 23, 2025 to Mar 26, 2026
- Other offices · 2 to 1Jun 23, 2025 to Mar 26, 2026
- Private funds · 1 to 2Jun 23, 2025 to Mar 26, 2026
- Discretionary RAUM · $0 to $23.8MJun 23, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $177M to $202MJun 23, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $175M to $225MJun 23, 2025 to Mar 26, 2026
- RAUM · $177M to $226MJun 23, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 14, 2025 to Jun 23, 2025
- Advisory employees · 4 to 5Jun 25, 2024 to Mar 14, 2025
- Assets in custody · $125M to $177MJun 25, 2024 to Mar 14, 2025
- Employees · 5 to 6Jun 25, 2024 to Mar 14, 2025
- Other offices · 1 to 2Jun 25, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $125M to $177MJun 25, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $123M to $175MJun 25, 2024 to Mar 14, 2025
- RAUM · $125M to $177MJun 25, 2024 to Mar 14, 2025
- Assets in custody · $148M to $125MJun 28, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $148M to $125MJun 28, 2023 to Mar 11, 2024
- Pooled vehicle RAUM · $144M to $123MJun 28, 2023 to Mar 11, 2024
- RAUM · $148M to $125MJun 28, 2023 to Mar 11, 2024
- Accounts · 3 to 2Feb 7, 2023 to Mar 20, 2023
- Pooled vehicle clients · 2 to 1Feb 7, 2023 to Mar 20, 2023
- Assets in custody · $217M to $148MFeb 7, 2023 to Mar 20, 2023
- Private funds · 2 to 1Feb 7, 2023 to Mar 20, 2023
- Discretionary RAUM · $26,117 to $0Feb 7, 2023 to Mar 20, 2023
- Non-discretionary RAUM · $217M to $148MFeb 7, 2023 to Mar 20, 2023
- Pooled vehicle RAUM · $211M to $144MFeb 7, 2023 to Mar 20, 2023
- RAUM · $217M to $148MFeb 7, 2023 to Mar 20, 2023
- Advisory employees · 3 to 4May 31, 2022 to Jul 8, 2022
- Employees · 4 to 5May 31, 2022 to Jul 8, 2022
- Accounts · 2 to 3Jun 29, 2021 to Mar 24, 2022
- Pooled vehicle clients · 1 to 2Jun 29, 2021 to Mar 24, 2022
- Assets in custody · $241M to $217MJun 29, 2021 to Mar 24, 2022
- Employees · 3 to 4Jun 29, 2021 to Mar 24, 2022
- Private funds · 1 to 2Jun 29, 2021 to Mar 24, 2022
- Discretionary RAUM · $0 to $26,117Jun 29, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $241M to $217MJun 29, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $237M to $211MJun 29, 2021 to Mar 24, 2022
- RAUM · $241M to $217MJun 29, 2021 to Mar 24, 2022
Signals
4 dated events
- Anthony Mark Mattheys (Chief Operating Officer) appeared on Schedule A of A•••• P•••••• C••••••Mar 29, 2021 · Control person joined · fact
- Stefanie Stannard (Chief Compliance Officer) no longer on Schedule A of A•••• P•••••• C•••••• (listed 2020-04-16, absent 2020-12-09)Dec 9, 2020 · Control person left · inference
- Stefanie Stannard (Chief Compliance Officer) appeared on Schedule A of A•••• P•••••• C••••••Apr 16, 2020 · Control person joined · fact
- A•••• P•••••• C•••••• filed its initial SEC registration (Form ADV)Sep 13, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• P•••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- A•••• P•••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••P••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 917-365-9073reportedpublic record, Form ADV, Jun 29, 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