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••••••
Legal name D•••••• •••• I•••
Latest filing Sep 1, 2023
First filing on the tape Aug 15, 2019 · 25 filings
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.8%
$7.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
21 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
$180M gross assets
History
25 filings and snapshots on the tape
RAUM$187M as of Mar 31, 2023
Mar 30, 2020$0 then
HNW client RAUM$1.3M as of Mar 31, 2023
Mar 31, 2021$17,099 then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 30, 20200 then
Employees (5.A)23 as of Mar 31, 2023
Mar 30, 20204 then
Private funds2 as of Mar 31, 2023
Mar 31, 20222 then
RAUM -2.8% over the last fiscal yearIARs 0 to 0offices 1 to 3
Practice profile
derived from the filing of Sep 1, 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
- $1,101derivedHNW RAUM over HNW clients
- Average account
- $6,474derivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.8%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $7.2MreportedItem 5.I
- Custody
- $180M, 5 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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$180M96%
- Individuals$5.9M3.1%
- High-net-worth individuals$1.3M0.7%
- Individual clients
- 27,694reported
- HNW clients
- 1,196reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 28,895reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $180M for 5 clientsreported
- Compensation
- % of AUMreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• C••••• M••••• F••• L• | Hedge Fund | $180M | 16 | Nov 30, 2021 |
| D•••••• U• L••• B••••• C••••• M••••• F••• | Hedge Fund | $0 | 0 | Nov 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••••••• P• · Director And Chief Investment Officercontrolsince 07/2020 · owns less than 5%
- P•••• A•••••• L••••• · Director And Ceocontrolsince 01/2019 · owns less than 5%
- F•••••• L•••••••• E••••• · Chief Compliance Officersince 09/2023 · owns less than 5%
Entity owners
- D•••••• H••••••• C•••• · Shareh•••••direct · owns 75% or more
Related persons
Schedule D 7.A
- D•••••• C••••••• F••• G•••••• P•••••• L•••pooled vehicle sponsorn
- D•••••• C••••• G•••••• P•••••• L•••pooled vehicle sponsorn
- D•••••• C••••• U••• G•••••• P•••••• L•••pooled vehicle sponsorn
- D•••••• U• G•••••• P•••••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6,210 to 28,895Oct 25, 2022 to Mar 31, 2023
- Advisory employees · 15 to 21Oct 25, 2022 to Mar 31, 2023
- HNW clients · unset to 1196.0Oct 25, 2022 to Mar 31, 2023
- Individual clients · 6,205 to 27,694Oct 25, 2022 to Mar 31, 2023
- Assets in custody · $191M to $180MOct 25, 2022 to Mar 31, 2023
- Employees · 19 to 23Oct 25, 2022 to Mar 31, 2023
- Other offices · 1 to 3Oct 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $192M to $187MOct 25, 2022 to Mar 31, 2023
- HNW RAUM · unset to 1317221.0Oct 25, 2022 to Mar 31, 2023
- Individual RAUM · $1.9M to $5.9MOct 25, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $191M to $180MOct 25, 2022 to Mar 31, 2023
- RAUM · $192M to $187MOct 25, 2022 to Mar 31, 2023
- Business name · D•••••• •••• I••• to D••••••Mar 31, 2022 to May 12, 2022
- Accounts · 3,322 to 6,210Jan 21, 2022 to Mar 31, 2022
- Advisory employees · 16 to 15Jan 21, 2022 to Mar 31, 2022
- Individual clients · 3,319 to 6,205Jan 21, 2022 to Mar 31, 2022
- Pooled vehicle clients · 3 to 5Jan 21, 2022 to Mar 31, 2022
- Assets in custody · $152M to $191MJan 21, 2022 to Mar 31, 2022
- Employees · 20 to 19Jan 21, 2022 to Mar 31, 2022
- Discretionary RAUM · $153M to $192MJan 21, 2022 to Mar 31, 2022
- Individual RAUM · $512,383 to $1.9MJan 21, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $152M to $191MJan 21, 2022 to Mar 31, 2022
- RAUM · $153M to $192MJan 21, 2022 to Mar 31, 2022
- Accounts · 494 to 3,322Aug 16, 2021 to Nov 30, 2021
- Advisory employees · 12 to 16Aug 16, 2021 to Nov 30, 2021
- Advisory activities · 1 to 2Aug 16, 2021 to Nov 30, 2021
- HNW clients · 8.0 to unsetAug 16, 2021 to Nov 30, 2021
- Individual clients · 486 to 3,319Aug 16, 2021 to Nov 30, 2021
- Pooled vehicle clients · unset to 3.0Aug 16, 2021 to Nov 30, 2021
- Assets in custody · unset to 152397007.0Aug 16, 2021 to Nov 30, 2021
- Custody of client assets · false to trueAug 16, 2021 to Nov 30, 2021
- Employees · 17 to 20Aug 16, 2021 to Nov 30, 2021
- Private funds · unset to 2Aug 16, 2021 to Nov 30, 2021
- Discretionary RAUM · $54,555 to $153MAug 16, 2021 to Nov 30, 2021
- HNW RAUM · 17099.0 to unsetAug 16, 2021 to Nov 30, 2021
- Individual RAUM · $37,456 to $512,383Aug 16, 2021 to Nov 30, 2021
- Pooled vehicle RAUM · unset to 152397007.0Aug 16, 2021 to Nov 30, 2021
- RAUM · $54,555 to $153MAug 16, 2021 to Nov 30, 2021
- Accounts · 0 to 494Nov 10, 2020 to Mar 31, 2021
- Advisory employees · 3 to 12Nov 10, 2020 to Mar 31, 2021
Signals
12 dated events
- Willis Meredith Geldhauser (Chief Compliance Officer) no longer on Schedule A of Delphia (listed 2023-03-31, absent 2023-09-01)Sep 1, 2023 · Control person left · inference
- C•••••• A••••••••• (Director, Secretary And Treasurer) no longer on Schedule A of Delphia (listed 2022-10-25, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Nicholas Mark Thompson (Chief Compliance Officer) no longer on Schedule A of Delphia (listed 2022-09-01, absent 2022-10-06)Oct 6, 2022 · Control person left · inference
- Nicholas Mark Thompson (Chief Compliance Officer) appeared on Schedule A of DelphiaJan 21, 2022 · Control person joined · fact
- Ian Roger Michael Holder (Cco And General Counsel) no longer on Schedule A of Delphia (listed 2022-01-03, absent 2022-01-21)Jan 21, 2022 · Control person left · inference
- P Jonathan Briggs (Director And Chief Investment Officer) appeared on Schedule A of DelphiaMar 31, 2021 · Control person joined · fact
- A••• M••• P••• (Trustee) no longer on Schedule A of Delphia (listed 2020-11-10, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- S••••• K••••• (Trustee) no longer on Schedule A of Delphia (listed 2020-11-10, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- M•••••• G••••• (Shareholder) no longer on Schedule A of Delphia (listed 2020-11-10, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Claude Eric Hippeau (Member) no longer on Schedule A of Delphia (listed 2020-11-10, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Samuel Sailer Benjamin Lerer (Member) no longer on Schedule A of Delphia (listed 2020-11-10, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- D•••••• •••• I••• filed its initial SEC registration (Form ADV)Aug 15, 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