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••••••••• P••••••• C•••••• M••••••••• L•
Latest filing Mar 25, 2026
First filing on the tape Feb 3, 2021 · 11 filings
SEC status approved since Mar 5, 2021
RAUM
$3.3B
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$3.3B as of Mar 25, 2026
Mar 28, 2022$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20220 then
Employees (5.A)8 as of Mar 25, 2026
Mar 28, 20228 then
Private funds2 as of Mar 25, 2026
Mar 28, 20223 then
RAUM -2.7% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $1.1BderivedRAUM 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
- -2.7%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 pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$3.3B100%
- 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
- $0 for 0 clientsreported
- 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
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••••• P•••••••• L••• | Hedge Fund | $1.5B | 111 | Mar 30, 2012 |
| D••••••••• P••••••• I•• L••• | Hedge Fund | $669M | 73 | Mar 30, 2018 |
| D• L••••••••• F•••• L••• | Other Private Fund | $18.0M | 18 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- I•••••••• M•••• F•••• · Cco, Coo, Cfocontrolsince 01/2021 · owns less than 5%
- C••••• S••••• W•••••• · Trusteecontrolsince 07/2013 · owns F of C•••• F••••• T••••
- I•••••••• M•••• F•••• · Trusteecontrolsince 03/2018 · owns F of I••••••• 2••• L••••• T••••
- J••••• R•••••• B•••• · Trusteecontrolsince 10/2014 · owns F of T•• R••••• B• J•••• A•• K•••• M• J•••• 2••• R•••••••• T••••
- M••••••••• A•••••• F••••• · Trusteecontrolsince 08/1997 · owns F of M•••••••• F••••• T•••• U•• 8•••••••
- N••••••• E•••• A••••• · Limited Partnersince 01/2021 · owns 10% to 25%
Entity owners
- D••••••••• P••••••• G•• L•• · General Partnerdirect · owns less than 5%
- T•• C•••• F••••• T•••• · Limited Partnerdirect · owns 25% to 50%
- T•• R••••• B• J•••• A•• K•••• M• J•••• 2••• R•••••••• T•••• · Limited Partnerdirect · owns 25% to 50%
- C•••• F••••• T•••• · Memberindirect · owns 25% to 50% of D••••••••• P••••••• G•• L••
- T•• R••••• B• J•••• A•• K•••• M• J•••• 2••• R•••••••• T•••• · Memberindirect · owns 25% to 50% of D••••••••• P••••••• G•• L••
- I••••••• 2••• L••••• T•••• · Limited Partnerdirect · owns less than 5%
- M•••••••• F••••• T•••• U•• 8••••••• · Limited Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- D••••••••• P••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 28, 2025 to Mar 25, 2026
- Employees · 10 to 8Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $3.4B to $3.3BMar 28, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $3.4B to $3.3BMar 28, 2025 to Mar 25, 2026
- RAUM · $3.4B to $3.3BMar 28, 2025 to Mar 25, 2026
- Accounts · 4 to 3Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 6 to 7Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 4 to 3Mar 28, 2024 to Mar 28, 2025
- Employees · 9 to 10Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 3 to 2Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.2B to $3.4BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.2B to $3.4BMar 28, 2024 to Mar 28, 2025
- RAUM · $2.2B to $3.4BMar 28, 2024 to Mar 28, 2025
- Related adviser · false to trueMar 28, 2024 to Mar 28, 2025
- Accounts · 3 to 4Apr 20, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 4Apr 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.5B to $2.2BApr 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.5B to $2.2BApr 20, 2023 to Mar 28, 2024
- RAUM · $1.5B to $2.2BApr 20, 2023 to Mar 28, 2024
- Employees · 8 to 9Jul 12, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.7B to $1.5BJul 12, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.7B to $1.5BJul 12, 2022 to Mar 28, 2023
- RAUM · $1.7B to $1.5BJul 12, 2022 to Mar 28, 2023
- Employees · 7 to 8Jun 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.6B to $1.7BJun 30, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.6B to $1.7BJun 30, 2021 to Mar 28, 2022
- RAUM · $1.6B to $1.7BJun 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $0 to $1.6BMar 30, 2021 to Jun 30, 2021
- Pooled vehicle RAUM · $0 to $1.6BMar 30, 2021 to Jun 30, 2021
- RAUM · $0 to $1.6BMar 30, 2021 to Jun 30, 2021
- Accounts · 0 to 3Mar 30, 2021 to Jun 30, 2021
Signals
3 dated events
- D••••••••• P••••••• C•••••• M••••••••• L• reported RAUM $3.4B, up 56% from $2.2B (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- D••••••••• P••••••• C•••••• M••••••••• L• reported RAUM $2.2B, up 42% from $1.5B (2023-04-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- D••••••••• P••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Feb 3, 2021 · 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
- (415) 464-4648reportedpublic record, Form ADV, Mar 25, 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