DFX Intelligence
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SEC-registered adviser
D•••••• E••••• P••••••• M••••••••• L••
Latest filing Aug 20, 2026
First filing on the tape Aug 14, 2024 · 4 filings
SEC status approved since Sep 17, 2024
RAUM
$670M
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
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$670M as of Aug 20, 2026
Mar 31, 2025$392M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 20, 2026
Mar 31, 20250 then
Employees (5.A)14 as of Aug 20, 2026
Mar 31, 202513 then
Private funds4 as of Aug 20, 2026
Mar 31, 20255 then
RAUM +71% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 20, 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
- $167MderivedRAUM 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
- +71%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
- 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)
- 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$670M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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=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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• E••••• •••• L• | Private Equity Fund | $211M | 55 | Aug 14, 2024 |
| D• I••••••••• F••••• A••••••••• L•• | Private Equity Fund | $128M | 2 | Dec 4, 2023 |
| D•••••• E••••• L• | Private Equity Fund | $83.0M | 47 | Aug 14, 2024 |
| D•••••• E••••• •••• L•• | Private Equity Fund | $34.6M | 2 | Aug 14, 2024 |
| D•••••• E••••• •••• L•• | Private Equity Fund | $15.1M | 2 | Aug 14, 2024 |
| D•••••• E••••• •• L• | Private Equity Fund | $0 | 0 | Aug 14, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• R••• · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- C•••••••• K• D•• · Chief Executive Officercontrolsince 09/2023 · owns 50% to 75%
- H•• E••••• T••••• · General Counsel / Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- N•••••• J•••••••• M••••• · Executive Chairmancontrolsince 09/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
- D•••••• E••••• •••• G• L•pooled vehicle sponsorn
- D•••••• E••••• •••• G• L•pooled vehicle sponsorn
- D•••••• E••••• 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
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $391,527,151 to $669,773,501 (+71.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (672 comparable advisers, 91.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 91% percentile
What changed
consecutive filings, newest first
- Private funds · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Accounts · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 10 to 11Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Assets in custody · 0.0 to unsetMar 31, 2025 to Mar 31, 2026
- Employees · 13 to 14Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $392M to $670MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $392M to $670MMar 31, 2025 to Mar 31, 2026
- RAUM · $392M to $670MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 9 to 10Aug 14, 2024 to Mar 31, 2025
- Custody of client assets · true to falseAug 14, 2024 to Mar 31, 2025
- Employees · 15 to 13Aug 14, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 14, 2024 to Mar 31, 2025
- Private funds · 10 to 5Aug 14, 2024 to Mar 31, 2025
- Discretionary RAUM · $344M to $392MAug 14, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $344M to $392MAug 14, 2024 to Mar 31, 2025
- RAUM · $344M to $392MAug 14, 2024 to Mar 31, 2025
Signals
2 dated events
- D•••••• E••••• P••••••• M••••••••• L•• reported RAUM $669.8M, up 71% from $391.5M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D•••••• E••••• P••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 14, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••••• E••••• P••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- D•••••• E••••• P••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-970-9850reportedpublic record, Form ADV, Aug 20, 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