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•••••• A•••• M••••••••• ••• L•
Latest filing Jun 26, 2026
First filing on the tape May 30, 2022 · 10 filings
SEC status approved since Jun 30, 2022
RAUM
$721M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$721M as of Jun 26, 2026
Mar 24, 2023$206M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Mar 24, 20230 then
Employees (5.A)2 as of Jun 26, 2026
Mar 24, 20232 then
Private funds: no history
RAUM +137% over the last fiscal year+52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 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
- $144MderivedRAUM 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
- +137%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 businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$32.6M100%
- 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
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• O•••••• C•••• · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
- D•••••• B•••••••• J••• · Ceo/Ciocontrolsince 05/2022 · owns less than 5%
- D•••••• B•••••••• J••• · Shareholdercontrolsince 05/2022 · owns 50% to 75% of D•••••• A•••• M••••••••• ••• L••
- K••••••• N••••• · Shareholdercontrolsince 05/2022 · owns 25% to 50% of D•••••• A•••• M••••••••• ••• L••
- T•••••• L••••• O••••• R•••••• · Partnersince 08/2022 · owns less than 5%
Entity owners
- D•••••• A•••• M••••••••• U• ••• L•• · Limited Liability Company And General Partnerdirect · owns 75% or more
- D•••••• A•••• M••••••••• ••• L•• · Limited Companyindirect · owns 75% or more of D•••••• A•••• M••••••••• U• ••• L••
Related persons
Schedule D 7.A
- D•••••• A•••• M••••••••• L••investment adviserbankyRAUM $1.0B
- D•••••• A•••• M••••••••• U• ••• L••pooled vehicle sponsory
Advisers that list D•••••• A•••• M••••••••• ••• L• as a related person
- 319363 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $304,349,536 to $720,804,987 (+137.0%) between the annual amendments of 2025-03-21 and 2026-03-20; the peer median change was +12.0% (87 comparable advisers, 93.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 5Mar 21, 2025 to Mar 20, 2026
- Discretionary RAUM · $304M to $721MMar 21, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $59.3M to $32.6MMar 21, 2025 to Mar 20, 2026
- RAUM · $304M to $721MMar 21, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 18, 2024 to Mar 21, 2025
- Discretionary RAUM · $221M to $304MMar 18, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $0 to $59.3MMar 18, 2024 to Mar 21, 2025
- RAUM · $221M to $304MMar 18, 2024 to Mar 21, 2025
- Accounts · 2 to 3Nov 30, 2023 to Mar 18, 2024
- Discretionary RAUM · $213M to $221MNov 30, 2023 to Mar 18, 2024
- RAUM · $213M to $221MNov 30, 2023 to Mar 18, 2024
- Accounts · 1 to 2Mar 24, 2023 to Jul 31, 2023
- Discretionary RAUM · $206M to $213MMar 24, 2023 to Jul 31, 2023
- RAUM · $206M to $213MMar 24, 2023 to Jul 31, 2023
- Pooled vehicle clients · unset to 1.0Oct 4, 2022 to Mar 24, 2023
- Employees · 1 to 2Oct 4, 2022 to Mar 24, 2023
- Discretionary RAUM · $200M to $206MOct 4, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · unset to 0.0Oct 4, 2022 to Mar 24, 2023
- RAUM · $200M to $206MOct 4, 2022 to Mar 24, 2023
- Related bank · false to trueOct 4, 2022 to Mar 24, 2023
- Accounts · 0 to 1Jun 9, 2022 to Oct 4, 2022
- Advisory employees · 2 to 1Jun 9, 2022 to Oct 4, 2022
- Pooled vehicle clients · 0.0 to unsetJun 9, 2022 to Oct 4, 2022
- Employees · 2 to 1Jun 9, 2022 to Oct 4, 2022
- HQ city · DOVER to NEW YORKJun 9, 2022 to Oct 4, 2022
- HQ state · DE to NYJun 9, 2022 to Oct 4, 2022
- Discretionary RAUM · $0 to $200MJun 9, 2022 to Oct 4, 2022
- Pooled vehicle RAUM · 0.0 to unsetJun 9, 2022 to Oct 4, 2022
- RAUM · $0 to $200MJun 9, 2022 to Oct 4, 2022
Signals
2 dated events
- D•••••• A•••• M••••••••• ••• L• reported RAUM $720.8M, up 137% from $304.3M (2025-03-21 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- D•••••• A•••• M••••••••• ••• L• filed its initial SEC registration (Form ADV)May 30, 2022 · 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
- 646-485-6430reportedpublic record, Form ADV, Jun 26, 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