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••••••••• G••••• M•••••• L•
Latest filing Apr 28, 2026
First filing on the tape Jun 28, 2021 · 15 filings
SEC status approved since Jul 28, 2021
RAUM
$903M
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
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$903M as of Apr 28, 2026
Mar 31, 2022$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 31, 20220 then
Employees (5.A)12 as of Apr 28, 2026
Mar 31, 202211 then
Private funds12 as of Apr 28, 2026
Mar 31, 202212 then
RAUM -43% over the last fiscal year+5.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
- $53.1MderivedRAUM 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
- -43%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
- Custody
- $903M, 17 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)
- 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$903M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $903M for 17 clientsreported
- 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• G••••• V••••••• I•• L• | Venture Capital Fund | $811M | 85 | Mar 31, 2022 |
| D••••••••• G••••• F••• I• L• | Hedge Fund | $335M | 85 | Mar 30, 2018 |
| D••••••••• G••••• V••••••• L• | Venture Capital Fund | $60.7M | 3 | Jun 28, 2021 |
| D••••••••• G••••• V••••••• T• L• | Venture Capital Fund | $49.3M | 3 | Jun 28, 2021 |
| D••••••••• G••••• V••••••• I• L• | Venture Capital Fund | $48.9M | 51 | Jun 28, 2021 |
| D• S•• 3• L•• | Venture Capital Fund | $24.4M | 11 | Jun 28, 2021 |
| D••••••••• G••••• A••••• F••• L• | Venture Capital Fund | $6.2M | 25 | Mar 29, 2019 |
| D• O••••••••• S•• L•• | Venture Capital Fund | $6.0M | 2 | Mar 31, 2022 |
| D• S•• 1• L•• | Venture Capital Fund | $6.0M | 7 | Jun 28, 2021 |
| D• S•• 2• L•• | Venture Capital Fund | $4.4M | 4 | Jun 28, 2021 |
| D• S•• 4• L•• | Venture Capital Fund | $4.4M | 2 | Jun 28, 2021 |
| D• S•• 5• L•• | Venture Capital Fund | $507,409 | 10 | Jun 28, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C••••• N•••••• K••••• · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- F••••• E•••••• S••••• · General Counsel & Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
- S•••• D••••• J• · Presidentcontrolsince 09/2021 · owns less than 5%
- S••••••••• J•••••••• S•••• · Principal & Co-Chief Investment Officercontrolsince 06/2017 · owns less than 5%
- W•••••••• T•••••• P••••• · Principal & Co-Chief Investment Officercontrolsince 06/2017 · owns less than 5%
- S••••••••• J•••••••• S•••• · M••••••controlsince 11/2020 · owns F of J• T•••• L••
- S••••••••• J•••••••• S•••• · M••••••controlsince 06/2021 · owns F of D••••••••• G••••• L••
- S••••••••• J•••••••• S•••• · M••••••controlsince 06/2021 · owns F of D• M••••••••• H••••••• L••
- W•••••••• T•••••• P••••• · M••••••controlsince 06/2021 · owns F of D••••••••• G••••• L••
- W•••••••• T•••••• P••••• · M••••••controlsince 06/2021 · owns F of D• M••••••••• H••••••• L••
- W•••••••• T•••••• P••••• · M••••••controlsince 07/2021 · owns F of H•• C••••••• L••
- A•••••• R•••• S••••••••• · Limited Partnersince 06/2017 · owns 5% to 10%
Entity owners
- D• M••••••••• H••••••• L•• · Limited Partnerdirect · owns 75% or more
- D••••••••• G••••• L•• · General Partnerdirect · owns less than 5%
- D• M••••••••• H••••••• L•• · Memberindirect · owns 75% or more of D••••••••• G••••• L••
- H•• C••••••• L•• · Memberindirect · owns 25% to 50% of D• M••••••••• H••••••• L••
- J• T•••• · Memberindirect · owns 75% or more of J• T•••• L••
- J• T•••• L•• · Memberindirect · owns 25% to 50% of D• M••••••••• H••••••• L••
- M•••••• T•••• · Memberindirect · owns 75% or more of H•• C••••••• L••
- T•• O••••• T•••• L•• · Trusteeindirect · owns F of M•••••• T••••
- T•• O••••• T•••• L•• · Trusteeindirect · owns F of J• T••••
Related persons
Schedule D 7.A
- D• S•• G• L••investment adviserpooled vehicle sponsorn
- D••••••••• G••••• G• L••pooled vehicle sponsorn
- D••••••••• G••••• V••••••• G• L••pooled vehicle sponsorn
- D••••••••• G••••• V••••••• I• G• L••pooled vehicle sponsorn
- D••••••••• G••••• V••••••• I•• G• L••pooled vehicle sponsorn
- F•••• I••••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $1,589,097,202 to $902,749,131 (-43.0%) between the annual amendments of 2025-03-31 and 2026-04-28; the peer median change was +8.0% (672 comparable advisers, 2.0th percentile of changes)peers: ASSET_M••••••, $500M to $1B (672) · 2.4% percentile
What changed
consecutive filings, newest first
- Assets in custody · $882M to $903MMar 31, 2026 to Apr 28, 2026
- Discretionary RAUM · $882M to $903MMar 31, 2026 to Apr 28, 2026
- Pooled vehicle RAUM · $882M to $903MMar 31, 2026 to Apr 28, 2026
- RAUM · $882M to $903MMar 31, 2026 to Apr 28, 2026
- Accounts · 18 to 17Jul 3, 2025 to Mar 31, 2026
- Advisory employees · 6 to 5Jul 3, 2025 to Mar 31, 2026
- Pooled vehicle clients · 18 to 17Jul 3, 2025 to Mar 31, 2026
- Assets in custody · $1.5B to $882MJul 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $882MJul 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.6B to $882MJul 3, 2025 to Mar 31, 2026
- RAUM · $1.6B to $882MJul 3, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 3, 2025
- Assets in custody · $1.4B to $1.5BMay 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $1.6BMay 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $1.6BMay 28, 2024 to Mar 31, 2025
- RAUM · $1.6B to $1.6BMay 28, 2024 to Mar 31, 2025
- Assets in custody · $658M to $1.4BOct 25, 2023 to Mar 28, 2024
- Employees · 11 to 12Oct 25, 2023 to Mar 28, 2024
- Discretionary RAUM · $769M to $1.6BOct 25, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $769M to $1.6BOct 25, 2023 to Mar 28, 2024
- RAUM · $769M to $1.6BOct 25, 2023 to Mar 28, 2024
- Assets in custody · $1.5B to $658MSep 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.6B to $769MSep 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.6B to $769MSep 13, 2022 to Mar 31, 2023
- RAUM · $1.6B to $769MSep 13, 2022 to Mar 31, 2023
- HQ city · BEVERLY HILLS to AUSTINMar 31, 2022 to Aug 10, 2022
- HQ state · CA to TXMar 31, 2022 to Aug 10, 2022
- Accounts · 15 to 18Sep 14, 2021 to Mar 31, 2022
- Advisory employees · 3 to 6Sep 14, 2021 to Mar 31, 2022
- Pooled vehicle clients · 15 to 18Sep 14, 2021 to Mar 31, 2022
- Assets in custody · $1.1B to $1.5BSep 14, 2021 to Mar 31, 2022
- Employees · 9 to 11Sep 14, 2021 to Mar 31, 2022
- Private funds · 10 to 12Sep 14, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.2B to $1.6BSep 14, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.2B to $1.6BSep 14, 2021 to Mar 31, 2022
- RAUM · $1.2B to $1.6BSep 14, 2021 to Mar 31, 2022
- Private funds · 20 to 10Jun 28, 2021 to Sep 14, 2021
Signals
10 dated events
- D••••••••• G••••• M•••••• L• reported RAUM $882.2M, down 44% from $1.6B (2025-07-03 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D••••••••• G••••• M•••••• L• reported RAUM $1.6B, up 111% from $769.2M (2023-10-25 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Q Richard Shi (Chief Financial Officer) no longer on Schedule A of D••••••••• G••••• M•••••• L• (listed 2023-07-24, absent 2023-10-25)Oct 25, 2023 · Control person left · inference
- D••••••••• G••••• M•••••• L• reported RAUM $769.2M, down 53% from $1.6B (2022-09-13 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- D••••••••• G••••• M•••••• L• reported RAUM $1.6B, up 34% from $1.2B (2021-09-14 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- J David Sica (President) appeared on Schedule A of D••••••••• G••••• M•••••• L•Mar 31, 2022 · Control person joined · fact
- K••••• N••••• C•••• (Chief Operating Officer) appeared on Schedule A of D••••••••• G••••• M•••••• L•Mar 31, 2022 · Control person joined · fact
- Tyler Erik Fell (Chief Financial Officer) no longer on Schedule A of D••••••••• G••••• M•••••• L• (listed 2021-06-28, absent 2021-09-14)Sep 14, 2021 · Control person left · inference
- Q Richard Shi (Chief Financial Officer) appeared on Schedule A of D••••••••• G••••• M•••••• L•Sep 14, 2021 · Control person joined · fact
- D••••••••• G••••• M•••••• L• filed its initial SEC registration (Form ADV)Jun 28, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••••••• G••••• M•••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- D•••••••••GLOBAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 213-725-7514reportedpublic record, Form ADV, Apr 28, 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 M••••••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