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••••••• C•
Latest filing Mar 31, 2026
First filing on the tape Jul 31, 2020 · 21 filings
SEC status approved since Sep 2, 2020
RAUM
$28.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$14.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$28.0M as of Mar 31, 2026
Mar 31, 2021$39.0M then
HNW client RAUM: $39.0M
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)3 as of Mar 31, 2026
Mar 31, 20213 then
Private funds: no history
RAUM -6.7% over the last fiscal year-10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $14.0MderivedRAUM 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
- $9.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$28.0M100%
- 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
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•••• D•••• | White Plains, Ny | Aug 6, 2021 | 20 y | 1 |
| W•••• N•• K•••• | White Plains, Ny | Aug 6, 2021 | 18 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• J•••• D•••• from V••••• A•••• M•••••••••Aug 6, 2021 · Other
- W•••• N•• K•••• from V••••• A•••• M•••••••••Aug 6, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M••••••• J•••• · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- K••••• W••••• N•• · Managing Membercontrolsince 07/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| White Plains, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $30.0M to $28.0MMay 8, 2025 to Mar 31, 2026
- RAUM · $30.0M to $28.0MMay 8, 2025 to Mar 31, 2026
- Financial planning clients · unset to Jan 2, 2025 to May 8, 2025
- Accounts · 2 to 3Mar 21, 2024 to Jan 2, 2025
- Employees · 2 to 3Mar 21, 2024 to Jan 2, 2025
- State-registered IARs · 2 to 3Mar 21, 2024 to Jan 2, 2025
- Discretionary RAUM · $33.0M to $30.0MMar 21, 2024 to Jan 2, 2025
- RAUM · $33.0M to $30.0MMar 21, 2024 to Jan 2, 2025
- Accounts · 1 to 2Jul 28, 2023 to Mar 21, 2024
- Discretionary RAUM · $30.0M to $33.0MJul 28, 2023 to Mar 21, 2024
- RAUM · $30.0M to $33.0MJul 28, 2023 to Mar 21, 2024
- Discretionary RAUM · $39.0M to $30.0MMay 24, 2023 to Jul 28, 2023
- RAUM · $39.0M to $30.0MMay 24, 2023 to Jul 28, 2023
- Business name · D••••••• L•• to D••••••• C•Mar 31, 2023 to May 24, 2023
- Legal name · D••••••• L•• to D••••••• C•Mar 31, 2023 to May 24, 2023
- Organization form · Limited Liability Company to CorporationMar 28, 2023 to Mar 31, 2023
- State-registered IARs · 0 to 2Feb 7, 2022 to Mar 16, 2022
- Advisory employees · 3 to 2Oct 25, 2021 to Feb 7, 2022
- Employees · 3 to 2Oct 25, 2021 to Feb 7, 2022
- Accounts · 8 to 1Mar 31, 2021 to Oct 25, 2021
- Advisory activities · 1 to 2Mar 31, 2021 to Oct 25, 2021
- HNW clients · 8.0 to unsetMar 31, 2021 to Oct 25, 2021
- HNW RAUM · 39000000.0 to unsetMar 31, 2021 to Oct 25, 2021
- State-registered IARs · 1 to 0Mar 3, 2021 to Mar 31, 2021
- Business name · R• O•••••• M••••••••• L•• to D••••••• L••Feb 4, 2021 to Mar 3, 2021
- Legal name · R• O•••••• M••••••••• L•• to D••••••• L••Feb 3, 2021 to Feb 4, 2021
- Accounts · 0 to 8Aug 21, 2020 to Jan 4, 2021
- Advisory employees · 4 to 3Aug 21, 2020 to Jan 4, 2021
- HNW clients · unset to 8.0Aug 21, 2020 to Jan 4, 2021
- Employees · 4 to 3Aug 21, 2020 to Jan 4, 2021
- HQ city · SCARSDALE to WHITE PLAINSAug 21, 2020 to Jan 4, 2021
- State-registered IARs · 4 to 1Aug 21, 2020 to Jan 4, 2021
- Discretionary RAUM · $0 to $39.0MAug 21, 2020 to Jan 4, 2021
- HNW RAUM · unset to 39000000.0Aug 21, 2020 to Jan 4, 2021
- RAUM · $0 to $39.0MAug 21, 2020 to Jan 4, 2021
- Business name · •• C••••••• to R• O•••••• M••••••••• L••Jul 31, 2020 to Aug 19, 2020
- Legal name · •• C••••••• to R• O•••••• M••••••••• L••Jul 31, 2020 to Aug 19, 2020
Signals
2 dated events
- James Michael Davis (Chief Compliance Officer) appeared on Schedule A of D••••••• C•Feb 7, 2022 · Control person joined · fact
- •• C••••••• filed its initial SEC registration (Form ADV)Jul 31, 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.
How to reach
public business contact points only, each with its source
- Website
- d•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-395-9471reportedpublic record, Form ADV, Mar 31, 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
- $14.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026