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•••• I••••••••• C••••••
Legal name D•••• I••••••••• C•••••• L••
Latest filing Jul 20, 2026
First filing on the tape Sep 11, 2020 · 12 filings
SEC status approved since Oct 9, 2020
RAUM
$448M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$448M as of Jul 20, 2026
Mar 29, 2021$422M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 20, 2026
Mar 29, 20210 then
Employees (5.A)9 as of Jul 20, 2026
Mar 29, 202110 then
Private funds2 as of Jul 20, 2026
Mar 29, 20212 then
RAUM -5.5% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 20, 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
- $89.7MderivedRAUM 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
- -5.5%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
- $448M, 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)
- 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$448M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $448M for 5 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••• L•••• A••••••• P•••••• D••• F••• I••• L•••no longer reported | Other Private Fund | $288M | 16 | Dec 21, 2017 |
| D•••• F••• I•• H•••••••• L••• | Other Private Fund | $280M | 20 | Mar 17, 2022 |
| D•• L•••• A••••••• F••• I•• L••• | Other Private Fund | $260M | 10 | Mar 28, 2024 |
| D•••• L•••• A••••••• P•••••• D••• F••• I•••• L•••no longer reported | Other Private Fund | $28.7M | 4 | Dec 21, 2018 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• I••••••• J••••• · Member And Chief Investment Officercontrolsince 09/2020 · owns 25% to 50%
- F••••• R••••••• H• · Member And Chief Executive Officercontrolsince 09/2020 · owns 50% to 75%
- P••••• H•••••• N• · Chief Compliance Officer And Chief Financial Officercontrolsince 01/2022 · owns less than 5%
Related persons
Schedule D 7.A
- D•••• C•••••••• C•••••• S•••••pooled vehicle sponsory
- D•••• L•••• A••••••• P•••••• D••• F••• I•• M••••••••• C••• L••pooled vehicle sponsory
- D•• L•••• A••••••• F••• I• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $474M to $448MOct 14, 2025 to Mar 24, 2026
- Discretionary RAUM · $474M to $448MOct 14, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $474M to $448MOct 14, 2025 to Mar 24, 2026
- RAUM · $474M to $448MOct 14, 2025 to Mar 24, 2026
- Accounts · 6 to 5Apr 3, 2024 to Mar 26, 2025
- Pooled vehicle clients · 6 to 5Apr 3, 2024 to Mar 26, 2025
- Assets in custody · $550M to $474MApr 3, 2024 to Mar 26, 2025
- Financial planning clients · unset to Apr 3, 2024 to Mar 26, 2025
- HQ city · WASHINGTON to Apr 3, 2024 to Mar 26, 2025
- HQ state · DC to Apr 3, 2024 to Mar 26, 2025
- Discretionary RAUM · $550M to $474MApr 3, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $2,142 to $0Apr 3, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $550M to $474MApr 3, 2024 to Mar 26, 2025
- RAUM · $550M to $474MApr 3, 2024 to Mar 26, 2025
- Accounts · 5 to 6Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 5 to 6Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $338M to $550MMar 30, 2023 to Mar 28, 2024
- Private funds · 1 to 2Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $338M to $550MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1,724 to $2,142Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $338M to $550MMar 30, 2023 to Mar 28, 2024
- RAUM · $338M to $550MMar 30, 2023 to Mar 28, 2024
- Assets in custody · $389M to $338MMar 17, 2022 to Mar 30, 2023
- Employees · 10 to 9Mar 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $389M to $338MMar 17, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $15,408 to $1,724Mar 17, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $389M to $338MMar 17, 2022 to Mar 30, 2023
- RAUM · $389M to $338MMar 17, 2022 to Mar 30, 2023
- Assets in custody · $382M to $389MFeb 7, 2022 to Mar 17, 2022
- Private funds · 2 to 1Feb 7, 2022 to Mar 17, 2022
- Discretionary RAUM · $382M to $389MFeb 7, 2022 to Mar 17, 2022
- Non-discretionary RAUM · $40.4M to $15,408Feb 7, 2022 to Mar 17, 2022
- Pooled vehicle RAUM · $422M to $389MFeb 7, 2022 to Mar 17, 2022
- RAUM · $422M to $389MFeb 7, 2022 to Mar 17, 2022
- Legal name · D•••• I••••••••• C••••••, LLC to D•••• I••••••••• C•••••• L••Mar 29, 2021 to Feb 7, 2022
- Accounts · 7 to 5Feb 5, 2021 to Mar 29, 2021
- Pooled vehicle clients · 7 to 5Feb 5, 2021 to Mar 29, 2021
- Assets in custody · $404M to $382MFeb 5, 2021 to Mar 29, 2021
- HQ city · unset to WASHINGTONFeb 5, 2021 to Mar 29, 2021
- HQ state · unset to DCFeb 5, 2021 to Mar 29, 2021
Signals
5 dated events
- D•••• I••••••••• C•••••• reported RAUM $549.7M, up 62% from $338.5M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Sawyer G••••• S••••••••• (General Counsel And Cco) no longer on Schedule A of D•••• I••••••••• C•••••• (listed 2021-03-29, absent 2022-02-07)Feb 7, 2022 · Control person left · inference
- N Hanler Perez (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of D•••• I••••••••• C••••••Feb 7, 2022 · Control person joined · fact
- G••••• S••••••••• (General Counsel And Cco) appeared on Schedule A of D•••• I••••••••• C••••••Feb 5, 2021 · Control person joined · fact
- D•••• I••••••••• C•••••• filed its initial SEC registration (Form ADV)Sep 11, 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 19, 2026
- Principal office phone
- 703-336-2273reportedpublic record, Form ADV, Jul 20, 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