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••••• E•••• F••••• O••••••• L••
Latest filing Jun 22, 2026
First filing on the tape Jul 20, 2021 · 11 filings
SEC status approved since Sep 22, 2021
RAUM
$1.4B
reported, Item 5.F
Discretionary
35%
of RAUM
Private clients
0.5%
$6.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.4B as of Jun 22, 2026
Jan 20, 2022$700M then
HNW client RAUM$6.5M as of Jun 22, 2026
Jan 20, 2022$700M then
State-registered IARs (5.B.3)0 as of Jun 22, 2026
Jan 20, 20220 then
Employees (5.A)6 as of Jun 22, 2026
Jan 20, 20222 then
Private funds9 as of Jun 22, 2026
Mar 31, 20231 then
RAUM +163% over the last fiscal year+42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 22, 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
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $12.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 35%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
- +163%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, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $628M, 19 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 custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$491M99%
- High-net-worth individuals$6.5M1.3%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 114reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $628M for 19 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.35 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D• B••••• L•• | Private Equity Fund | $30.8M | 8 | Mar 29, 2024 |
| D••• N•••••• L• | Private Equity Fund | $27.2M | 32 | Mar 31, 2023 |
| D••••• E•••• S•••••• H•••••• L•• | Private Equity Fund | $16.5M | 21 | Mar 29, 2024 |
| D••••••••• H•••••••• L•• | Private Equity Fund | $13.3M | 6 | Mar 29, 2024 |
| D• P•• H•••••• L•• | Private Equity Fund | $11.0M | 2 | Mar 29, 2024 |
| E•••••••• E•••• I••••••••• L•• | Private Equity Fund | $8.6M | 11 | Mar 29, 2024 |
| D••••• E•••• S••••••• H•••••• L•• | Private Equity Fund | $1.5M | 11 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• M•••• · Chief Compliance Officer, Controllercontrolsince 08/2023 · owns less than 5%
- K••••••• E•••• K••• · Controllercontrolsince 09/2021 · owns less than 5%
- K•••••• P•••• W••••• · Managing Directorcontrolsince 07/2021 · owns less than 5%
- C••••••••• B••••• A•••• · Trusteecontrolsince 07/2021 · owns F of C•••••• L••••• T••••
- K•••••• P•••• W••••• · Trusteecontrolsince 07/2021 · owns F of C•••••• L••••• T••••
Entity owners
- C•••••• L••••• T•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- D••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 14.0% to 35.0% between the annual amendments of 2025-04-29 and 2026-03-30peers: other advisers, $1B to $5B (247)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $530,911,370 to $1,398,671,728 (+163.0%) between the annual amendments of 2025-04-29 and 2026-03-30; the peer median change was +11.0% (231 comparable advisers, 94.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 102 to 114Apr 29, 2025 to Mar 30, 2026
- Advisory employees · 4 to 6Apr 29, 2025 to Mar 30, 2026
- Pooled vehicle clients · 7 to 9Apr 29, 2025 to Mar 30, 2026
- Assets in custody · $87.2M to $628MApr 29, 2025 to Mar 30, 2026
- Employees · 4 to 6Apr 29, 2025 to Mar 30, 2026
- Private funds · 7 to 9Apr 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $73.3M to $491MApr 29, 2025 to Mar 30, 2026
- HNW RAUM · $6.2M to $6.5MApr 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $458M to $907MApr 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $73.3M to $491MApr 29, 2025 to Mar 30, 2026
- RAUM · $531M to $1.4BApr 29, 2025 to Mar 30, 2026
- Accounts · 141 to 102Apr 15, 2024 to Apr 29, 2025
- HNW clients · 3 to 2Apr 15, 2024 to Apr 29, 2025
- Assets in custody · $84.0M to $87.2MApr 15, 2024 to Apr 29, 2025
- Financial planning clients · 0 to 0Apr 15, 2024 to Apr 29, 2025
- Discretionary RAUM · $109M to $73.3MApr 15, 2024 to Apr 29, 2025
- HNW RAUM · $14.7M to $6.2MApr 15, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $428M to $458MApr 15, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $109M to $73.3MApr 15, 2024 to Apr 29, 2025
- RAUM · $537M to $531MApr 15, 2024 to Apr 29, 2025
- Accounts · 78 to 141Oct 23, 2023 to Mar 29, 2024
- HNW clients · 4 to 3Oct 23, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1 to 7Oct 23, 2023 to Mar 29, 2024
- Assets in custody · $7.6M to $84.0MOct 23, 2023 to Mar 29, 2024
- Financial planning clients · unset to 0Oct 23, 2023 to Mar 29, 2024
- Private funds · 1 to 7Oct 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $109MOct 23, 2023 to Mar 29, 2024
- HNW RAUM · $37.6M to $14.7MOct 23, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $487M to $428MOct 23, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $26.4M to $109MOct 23, 2023 to Mar 29, 2024
- RAUM · $487M to $537MOct 23, 2023 to Mar 29, 2024
- Advisory employees · 2 to 4Mar 31, 2023 to Oct 19, 2023
- Employees · 2 to 4Mar 31, 2023 to Oct 19, 2023
- Accounts · 60 to 78Jan 20, 2022 to Mar 31, 2023
- Advisory activities · 2 to 3Jan 20, 2022 to Mar 31, 2023
- HNW clients · 13 to 4Jan 20, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 1.0Jan 20, 2022 to Mar 31, 2023
- Assets in custody · $3.5M to $7.6MJan 20, 2022 to Mar 31, 2023
- Private funds · unset to 1Jan 20, 2022 to Mar 31, 2023
- HNW RAUM · $700M to $37.6MJan 20, 2022 to Mar 31, 2023
Signals
5 dated events
- D••••• E•••• F••••• O••••••• L•• reported RAUM $1.4B, up 163% from $530.9M (2025-04-29 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- M•••• B••••• (Chief Compliance Officer, Controller) appeared on Schedule A of D••••• E•••• F••••• O••••••• L••Oct 19, 2023 · Control person joined · fact
- D••••• E•••• F••••• O••••••• L•• reported RAUM $487.3M, down 30% from $699.6M (2022-01-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Kaye Erin Keeling (Chief Compliance Officer And Controller) appeared on Schedule A of D••••• E•••• F••••• O••••••• L••Jan 20, 2022 · Control person joined · fact
- D••••• E•••• F••••• O••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••• E•••• F••••• O••••••• L•• · Family Officesshared crd · office
- D••••• E•••• F••••• O••••••• L•• · Independent Sponsorsshared crd · capital_provider
- D••••• E•••• F••••• O••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 817-928-3260reportedpublic record, Form ADV, Jun 22, 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
- Other 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