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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
D•••• E••••••••
Legal name D•••• E•••••••• C••••
Latest filing Mar 31, 2026
First filing on the tape Jan 15, 2024 · 8 filings
SEC status approved since Mar 1, 2024
RAUM
$21.8M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$21.8M as of Mar 31, 2026
Mar 28, 2025$12.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20250 then
Employees (5.A)9 as of Mar 31, 2026
Mar 28, 20259 then
Private funds: no history
RAUM +75% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $21.8MderivedRAUM 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
- +75%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, fixed fees, subscription, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$21.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•• J••• · Managing Directorcontrolsince 07/2023 · owns less than 5%
- L••• Y••• S•• · Shareholdercontrolsince 07/2023 · owns 5% to 10%
- L••• P•• C•••• · Shareholdercontrolsince 07/2023 · owns 25% to 50%
- T•••• C•••• T•• · Chief Compliance Officer And Cfocontrolsince 05/2024 · owns less than 5%
- F•• J••• · Managing Membercontrolsince 09/2019 · owns 75% or more of D•••• C•••••• P•••••••• L••
Entity owners
- D•••• C•••••• P•••••••• L•• · Shareholderdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- D•••• C•••••• P•••••••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $22.0M to $21.8MDec 9, 2025 to Mar 31, 2026
- RAUM · $22.0M to $21.8MDec 9, 2025 to Mar 31, 2026
- Advisory activities · 1 to 2Mar 28, 2025 to Dec 9, 2025
- Discretionary RAUM · $12.4M to $22.0MMar 28, 2025 to Dec 9, 2025
- RAUM · $12.4M to $22.0MMar 28, 2025 to Dec 9, 2025
- Accounts · unset to 1.0May 28, 2024 to Mar 28, 2025
- Advisory employees · 1 to 5May 28, 2024 to Mar 28, 2025
- Employees · 1 to 9May 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to May 28, 2024 to Mar 28, 2025
- HQ state · unset to May 28, 2024 to Mar 28, 2025
- Other offices · 1 to 0May 28, 2024 to Mar 28, 2025
- Discretionary RAUM · unset to 12409775.0May 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · unset to 0.0May 28, 2024 to Mar 28, 2025
- RAUM · unset to 12409775.0May 28, 2024 to Mar 28, 2025
- HQ city · NEWPORT BEACH to TAIPAI CITYMay 16, 2024 to May 28, 2024
- HQ state · CA to unsetMay 16, 2024 to May 28, 2024
- HQ city · TAIPAI CITY to TAIPEI CITYMay 28, 2024 to May 28, 2024
- Other offices · 0 to 1Jan 15, 2024 to May 16, 2024
Signals
2 dated events
- C•••• Tse T••• (Chief Compliance Officer And Cfo) appeared on Schedule A of D•••• E••••••••May 28, 2024 · Control person joined · fact
- D•••• E•••••••• filed its initial SEC registration (Form ADV)Jan 15, 2024 · 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
- 949-535-4675reportedpublic record, Form ADV, Mar 31, 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