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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

D••••• A•••• M••••••••• L••

Former SEC-registered adviserTampa, FloridaCRD 310174SEC 801-120097IAPD
Latest filing Sep 22, 2023
First filing on the tape Dec 4, 2020 · 7 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
0.0%
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.0B as of Sep 22, 2023
Oct 28, 2022$928M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Sep 22, 2023
Oct 28, 20222 then
Employees (5.A)4 as of Sep 22, 2023
Oct 28, 20225 then
Private funds: no history
RAUM +8.6% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Sep 22, 2023; every figure names its basis
RAUM per advisor
$336MderivedRAUM 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
$201MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.6%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
publications, educational seminars, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$1.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••• M••••••• A• · Chief Risk Officercontrol
    since 10/2022 · owns less than 5%
  • S••••••••• M••••••• T••••• · Managing Partner/Chief Compliance Officercontrol
    since 09/2020 · owns less than 5%
  • B••••••••• J••••• · Managing Membercontrol
    since 02/2020 · owns 25% to 50% of M•• E••••• G•••• H•••••••• L••
  • B••••••••• M••••••• S•••••••• · Managing Membercontrol
    since 02/2020 · owns 25% to 50% of M•• E••••• G•••• H•••••••• L••
  • S••••••••• M••••••• T••••• · Managing Membercontrol
    since 02/2020 · owns 25% to 50% of M•• E••••• G•••• H•••••••• L••
Entity owners
  • D••••• P•••••••• L•• · Managing Member
    direct · owns 75% or more
  • M•• E••••• G•••• H•••••••• L•• · Member
    indirect · owns 75% or more of D••••• P•••••••• L••
Related persons
Schedule D 7.A
Advisers that list D••••• A•••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Tampa, Fl · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 4 to 5
    Oct 28, 2022 to Sep 22, 2023
  • Advisory employees · 2 to 3
    Oct 28, 2022 to Sep 22, 2023
  • Employees · 5 to 4
    Oct 28, 2022 to Sep 22, 2023
  • Insurance-licensed employees · 2 to 3
    Oct 28, 2022 to Sep 22, 2023
  • Financial planning clients · unset to 0
    Oct 28, 2022 to Sep 22, 2023
  • State-registered IARs · 2 to 3
    Oct 28, 2022 to Sep 22, 2023
  • Non-discretionary RAUM · $928M to $1.0B
    Oct 28, 2022 to Sep 22, 2023
  • RAUM · $928M to $1.0B
    Oct 28, 2022 to Sep 22, 2023
  • Accounts · 0 to 4
    Jan 28, 2021 to Oct 28, 2022
  • Advisory employees · 1 to 2
    Jan 28, 2021 to Oct 28, 2022
  • Advisory activities · 2 to 3
    Jan 28, 2021 to Oct 28, 2022
  • Employees · 3 to 5
    Jan 28, 2021 to Oct 28, 2022
  • Insurance-licensed employees · 1 to 2
    Jan 28, 2021 to Oct 28, 2022
  • State-registered IARs · 1 to 2
    Jan 28, 2021 to Oct 28, 2022
  • Non-discretionary RAUM · $0 to $928M
    Jan 28, 2021 to Oct 28, 2022
  • RAUM · $0 to $928M
    Jan 28, 2021 to Oct 28, 2022
Signals
8 dated events
  • M•••••• T••••• S••••••••• left D••••• A•••• M••••••••• L•• for Farther (registered 2024-12-19)
    Jun 27, 2024 · Advisor changed firm · fact
  • Matthew A Krueger no longer registered at D••••• A•••• M••••••••• L••; no later IA registration on IAPD
    Jun 27, 2024 · Advisor departure · fact
  • S•••• P••• Van G••••••• (Chief Compliance Officer) no longer on Schedule A of D••••• A•••• M••••••••• L•• (listed 2022-10-28, absent 2023-09-22)
    Sep 22, 2023 · Control person left · inference
  • S•••• P••• Van G••••••• (Chief Compliance Officer) appeared on Schedule A of D••••• A•••• M••••••••• L••
    Oct 28, 2022 · Control person joined · fact
  • A Matthew Krueger (Chief Risk Officer) appeared on Schedule A of D••••• A•••• M••••••••• L••
    Oct 28, 2022 · Control person joined · fact
  • Sebastian M•••••• Bartolotta (Managing Member) appeared on Schedule A of D••••• A•••• M••••••••• L••
    Oct 28, 2022 · Control person joined · fact
  • Jeremy Bartolotta (Managing Member) appeared on Schedule A of D••••• A•••• M••••••••• L••
    Oct 28, 2022 · Control person joined · fact
  • D••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Dec 4, 2020 · 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