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••••• M•••••• M••••••••• L•
Latest filing May 1, 2026
First filing on the tape Jan 31, 2024 · 8 filings
SEC status approved since Mar 1, 2024
RAUM
$1.6B
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
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
13
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.6B as of May 1, 2026
Mar 28, 2025$959M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 28, 20250 then
Employees (5.A)6 as of May 1, 2026
Mar 28, 20254 then
Private funds13 as of May 1, 2026
Mar 28, 202511 then
RAUM +64% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
- $121MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%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
- yesreportedItem 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)
- 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$1.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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••••• M•••• O••••••••• S•• L•• | Private Equity Fund | $326M | 8 | Jun 28, 2024 |
| D••••• M•••••• L• | Private Equity Fund | $192M | 1 | Jun 28, 2024 |
| D••••• M•••• F• S•• L•• | Private Equity Fund | $38.9M | 2 | Jun 28, 2024 |
| D••••• F•••••• S•• L•• | Private Equity Fund | $35.1M | 90 | Jun 28, 2024 |
| D••••• I••••••••• S•• L•• | Private Equity Fund | $26.0M | 1 | Jun 28, 2024 |
| D••••• H••••••• L• | Private Equity Fund | $15.3M | 15 | Jun 28, 2024 |
| D••••• H••••• F••••• S•• L•• | Private Equity Fund | $8.4M | 66 | Jun 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• S•••••• L••••• · Chief Compliance Officer & Managing Principalcontrolsince 12/2023 · owns less than 5%
- C••••••• J•••• M•••••• · Membercontrolsince 08/2021 · owns 75% or more of I•••••• C•••••• L••
- H•••••• S•••••• L••••• · Membercontrolsince 08/2021 · owns 75% or more of D•• M•••• L••
- H•••••• S••••••• M•••••• · Limited Partnersince 12/2023 · owns 10% to 25%
Entity owners
- D•• M•••• L•• · Limited Partnerdirect · owns 50% to 75%
- D••••• M•••••• L•• · General Partnerdirect · owns less than 5%
- I•••••• C•••••• L•• · Limited Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- D••••• F•••••• M••••••••• L••pooled vehicle sponsorn
- D••••• H•••••• G•• L•pooled vehicle sponsorn
- D••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
- D••••• M•••• O••••••••• M••••••••• L••pooled vehicle sponsorn
- D••••• P•••••••• L•pooled vehicle sponsorn
- Y• S•••••• I••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 11 to 13Aug 5, 2025 to Mar 31, 2026
- Advisory employees · 4 to 6Aug 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 13Aug 5, 2025 to Mar 31, 2026
- Employees · 4 to 6Aug 5, 2025 to Mar 31, 2026
- Private funds · 11 to 13Aug 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $959M to $1.6BAug 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $959M to $1.6BAug 5, 2025 to Mar 31, 2026
- RAUM · $959M to $1.6BAug 5, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 14, 2025
- Related broker-dealer · false to trueMar 28, 2025 to May 14, 2025
- Accounts · 7 to 11Jun 28, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Jun 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 7 to 11Jun 28, 2024 to Mar 28, 2025
- Assets in custody · $434M to $0Jun 28, 2024 to Mar 28, 2025
- Employees · 3 to 4Jun 28, 2024 to Mar 28, 2025
- HQ city · unset to Jun 28, 2024 to Mar 28, 2025
- HQ state · unset to Jun 28, 2024 to Mar 28, 2025
- Private funds · 7 to 11Jun 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $642M to $959MJun 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $642M to $959MJun 28, 2024 to Mar 28, 2025
- RAUM · $642M to $959MJun 28, 2024 to Mar 28, 2025
- Accounts · 0 to 7Feb 27, 2024 to Jun 28, 2024
- Pooled vehicle clients · unset to 7.0Feb 27, 2024 to Jun 28, 2024
- Assets in custody · unset to 434404812.0Feb 27, 2024 to Jun 28, 2024
- Custody of client assets · false to trueFeb 27, 2024 to Jun 28, 2024
- Private funds · unset to 7Feb 27, 2024 to Jun 28, 2024
- Discretionary RAUM · $0 to $642MFeb 27, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · unset to 641780879.0Feb 27, 2024 to Jun 28, 2024
- RAUM · $0 to $642MFeb 27, 2024 to Jun 28, 2024
- Related adviser · false to trueJan 31, 2024 to Feb 27, 2024
Signals
3 dated events
- D••••• M•••••• M••••••••• L• reported RAUM $1.6B, up 64% from $958.9M (2025-08-05 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D••••• M•••••• M••••••••• L• reported RAUM $958.9M, up 49% from $641.8M (2024-06-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- D••••• M•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jan 31, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••• M•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 914-815-0896reportedpublic record, Form ADV, May 1, 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