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••• F••••• C•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Feb 2, 2021 · 15 filings
SEC status approved since Mar 3, 2021
RAUM
$2.4B
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
14
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.4B as of Mar 27, 2026
Mar 24, 2022$501M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 24, 20220 then
Employees (5.A)14 as of Mar 27, 2026
Mar 24, 202210 then
Private funds1 as of Mar 27, 2026
Mar 24, 20221 then
RAUM +46% over the last fiscal year+71% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $806MderivedRAUM 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
- +46%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
- $2.4B, 3 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.4B100%
- 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
- $2.4B for 3 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••• F••••• G••••• E••••• M••••• F••• L• | Hedge Fund | $1.2B | 53 | Feb 2, 2021 |
| D••• F••••• G••••• U••••••••• M••••• F••• L• | Hedge Fund | $419M | 5 | Nov 28, 2023 |
Owners and control persons
Schedule A and B, latest filing
- I••••••• K••••• F•••••• · Chief Financial Officer / Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- K••••• J••••• M••••• · Chief Executive Officer/Chief Investment Officer/Founding Member/Limited Partnercontrolsince 08/2020 · owns 75% or more
- K••••• J••••• M••••• · Managing Membercontrolsince 08/2020 · owns 75% or more of D••• F••••• C•••••• M••••••••• G• L••
Entity owners
- D••• F••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- D••• F••••• G••••• E••••• F••• G• L••pooled 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
- employee count dropChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 24.0 to 14.0 (-42.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was 0.0% (1109 comparable advisers, 1.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 1.4% percentile
What changed
consecutive filings, newest first
- Accounts · 9 to 3Mar 31, 2025 to Mar 27, 2026
- Advisory employees · 7 to 6Mar 31, 2025 to Mar 27, 2026
- Pooled vehicle clients · 9 to 3Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $1.7B to $2.4BMar 31, 2025 to Mar 27, 2026
- Employees · 24 to 14Mar 31, 2025 to Mar 27, 2026
- Private funds · 2 to 1Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.7B to $2.4BMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.7B to $2.4BMar 31, 2025 to Mar 27, 2026
- RAUM · $1.7B to $2.4BMar 31, 2025 to Mar 27, 2026
- Accounts · 8 to 9Dec 2, 2024 to Mar 31, 2025
- Advisory employees · 13 to 7Dec 2, 2024 to Mar 31, 2025
- Pooled vehicle clients · 8 to 9Dec 2, 2024 to Mar 31, 2025
- Assets in custody · $1.6B to $1.7BDec 2, 2024 to Mar 31, 2025
- Employees · 22 to 24Dec 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to Dec 2, 2024 to Mar 31, 2025
- HQ city · SAN JUAN to NEW YORKDec 2, 2024 to Mar 31, 2025
- HQ state · PR to NYDec 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $1.7BDec 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $1.7BDec 2, 2024 to Mar 31, 2025
- RAUM · $1.6B to $1.7BDec 2, 2024 to Mar 31, 2025
- Accounts · 6 to 8Nov 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 8Nov 28, 2023 to Mar 28, 2024
- Assets in custody · $1.8B to $1.6BNov 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.8B to $1.6BNov 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.8B to $1.6BNov 28, 2023 to Mar 28, 2024
- RAUM · $1.8B to $1.6BNov 28, 2023 to Mar 28, 2024
- Accounts · 3 to 6Apr 25, 2023 to Nov 28, 2023
- Pooled vehicle clients · 3 to 6Apr 25, 2023 to Nov 28, 2023
- Assets in custody · $542M to $1.8BApr 25, 2023 to Nov 28, 2023
- Private funds · 1 to 2Apr 25, 2023 to Nov 28, 2023
- Discretionary RAUM · $542M to $1.8BApr 25, 2023 to Nov 28, 2023
- Pooled vehicle RAUM · $542M to $1.8BApr 25, 2023 to Nov 28, 2023
- RAUM · $542M to $1.8BApr 25, 2023 to Nov 28, 2023
- Assets in custody · $486M to $542MApr 12, 2023 to Apr 25, 2023
- Discretionary RAUM · $486M to $542MApr 12, 2023 to Apr 25, 2023
- Pooled vehicle RAUM · $486M to $542MApr 12, 2023 to Apr 25, 2023
- RAUM · $486M to $542MApr 12, 2023 to Apr 25, 2023
- HQ city · WESTON to SAN JUANMar 27, 2023 to Apr 12, 2023
- HQ state · CT to PRMar 27, 2023 to Apr 12, 2023
- Advisory employees · 7 to 13Apr 19, 2022 to Mar 27, 2023
Signals
5 dated events
- D••• F••••• C•••••• M••••••••• L• reported RAUM $2.4B, up 46% from $1.7B (2025-03-31 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Louis Michael Deaddio (Chief Operating Officer / Chief Compliance Officer) no longer on Schedule A of D••• F••••• C•••••• M••••••••• L• (listed 2024-05-30, absent 2024-12-02)Dec 2, 2024 · Control person left · inference
- Francis Kelly Ireland (Chief Financial Officer) appeared on Schedule A of D••• F••••• C•••••• M••••••••• L•Nov 28, 2023 · Control person joined · fact
- D••• F••••• C•••••• M••••••••• L• reported RAUM $1.8B, up 233% from $542.2M (2023-04-25 to 2023-11-28)Nov 28, 2023 · RAUM change · derived
- D••• F••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Feb 2, 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
- Principal office phone
- 1-203-718-5750reportedpublic record, Form ADV, Mar 27, 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