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••••• R••• E••••• I•••••••••
Legal name D••••• R••• E••••• I••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Oct 31, 2023 · 8 filings
SEC status approved since Nov 29, 2023
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$170M as of Mar 27, 2026
Mar 29, 2024$232M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20240 then
Employees (5.A)9 as of Mar 27, 2026
Mar 29, 202413 then
Private funds5 as of Mar 27, 2026
Mar 29, 20245 then
RAUM -27% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $170MderivedRAUM 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
- $21.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%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 vehicles, otherreportedItem 5.G
- Custody
- $170M, 8 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$170M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $170M for 8 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• G•••••••• C••••••••• A•••••• | Austin, Tx | Dec 4, 2023 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••• F••• V•• L• | Real Estate Fund | $92.8M | 47 | Oct 31, 2023 |
| D••••• F••• V• L• | Real Estate Fund | $88.9M | 21 | Oct 31, 2023 |
| 3• P•••••••• I• L• | Real Estate Fund | $27.9M | 8 | Oct 31, 2023 |
| D••••• H••••••• P•••• B••• L• | Real Estate Fund | $17.3M | 6 | Oct 31, 2023 |
| 3• P•••••••• I•• L• | Real Estate Fund | $5.4M | 8 | Oct 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• S•••••••• P••••• · Chief Executive Officercontrolsince 01/2023 · owns less than 5%
- F•••••• M••••••• A•••••••• A•••••• · Secretary / Treasurercontrolsince 02/2018 · owns less than 5%
- L••••••• J••••• M•••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- O••••• G••••••• G•••••••• · I Vice Presidentcontrolsince 07/2013 · owns less than 5%
- S•••••• F•••••••• G•••• · Presidentcontrolsince 07/2013 · owns less than 5%
Entity owners
- E• R••••• U••• S• D• C• · Shareholderdirect · owns 75% or more
- D•••• I••••••••• T•••• · Shareholderindirect · owns 75% or more of L••• C••••••••• S• D•••
- L••• C••••••••• S• D••• · Shareholderindirect · owns 75% or more of E• R••••• U••• S• D• C•
Related persons
Schedule D 7.A
- 3• S••••••••• L••pooled vehicle sponsory
- D••••• R••• E••••• V•••••••• L••pooled vehicle sponsory
- F••••••• D••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Sep 19, 2025 to Mar 27, 2026
- Assets in custody · $231M to $170MSep 19, 2025 to Mar 27, 2026
- Employees · 11 to 9Sep 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $231M to $170MSep 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $231M to $170MSep 19, 2025 to Mar 27, 2026
- RAUM · $231M to $170MSep 19, 2025 to Mar 27, 2026
- Related adviser · false to trueSep 19, 2025 to Mar 27, 2026
- Financial planning clients · unset to May 21, 2025 to Jun 23, 2025
- Accounts · 5 to 8Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 11 to 9Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 5 to 8Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $232M to $231MMar 29, 2024 to Mar 28, 2025
- Employees · 13 to 11Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $232M to $231MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $232M to $231MMar 29, 2024 to Mar 28, 2025
- RAUM · $232M to $231MMar 29, 2024 to Mar 28, 2025
- Assets in custody · $202M to $232MOct 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $202M to $232MOct 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $202M to $232MOct 31, 2023 to Mar 29, 2024
- RAUM · $202M to $232MOct 31, 2023 to Mar 29, 2024
Signals
1 dated events
- D••••• R••• E••••• I••••••••• filed its initial SEC registration (Form ADV)Oct 31, 2023 · 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
- Firm profile
- linkedin.com/company/ddeltareireportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/3nstrategiesreportedpublic record, Form ADV, Sep 19, 2026
- Website
- ddelta.usreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512 457 0300reportedpublic 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
D••••• R••• E••••• I••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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