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• C•••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Apr 3, 2024 · 5 filings
SEC status approved since May 3, 2024
RAUM
$203M
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
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$203M as of Mar 27, 2026
Mar 26, 2025$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 26, 20250 then
Employees (5.A)11 as of Mar 27, 2026
Mar 26, 20258 then
Private funds5 as of Mar 27, 2026
Mar 26, 20257 then
RAUM +36% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $29.1MderivedRAUM 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
- +36%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $203M, 7 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$203M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $203M for 7 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=3.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D• P•••••• I••••••••• L•• | Private Equity Fund | $53.2M | 31 | Nov 14, 2022 |
| D• P•••••• I••••••••• F••• I•• L•• | Private Equity Fund | $50.8M | 44 | Sep 30, 2022 |
| D• C••••• V• F••• I• L• | Other Private Fund | $5.3M | 8 | Feb 6, 2024 |
| D• M••••••••• O•••••• F•••• L• | Hedge Fund | $0 | 7 | Apr 3, 2024 |
| D• M••••••••• M••••• F•••• L• | Hedge Fund | $0 | 7 | Apr 3, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• K••••• W• · Head Of Operationscontrolsince 03/2024 · owns less than 5%
- H•••••• R••••••• J••• · Chief Fiancial Officercontrolsince 03/2024 · owns less than 5%
- K•••• S••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- V••••••• J••••• S•••••••• · Co-Foundercontrolsince 03/2024 · owns less than 5%
- V••••••••• D•••• T•••••• · General P•••••••••controlsince 09/2022 · owns 75% or more of D• C••••• H••••••• P•••••••••
Entity owners
- D••• H•••••••• L• · Direct Ownerdirect · owns 75% or more
- D• C••••• H••••••• P••••••••• · Memberindirect · owns 75% or more of D• H••••••• L••
- D• H••••••• L•• · Memberindirect · owns 75% or more of D• T•••••• I•••
- D• T•••••• I••• · Memberindirect · owns 25% to 50% of D••• H•••••••• L•
- J••••••• V•••••• 2••• B••••••••• D•••••••• I••••••••• T•••• F•••• J•••• V•••••• · Investment Trusteeindirect · owns 75% or more of J•• I••••••••• L••
- J•• I••••••••• L•• · Memberindirect · owns 75% or more of J•• T•••••• I•••
- J•• T•••••• I••• · Memberindirect · owns 25% to 50% of D••• H•••••••• L•
Related persons
Schedule D 7.A
- D• C•••••• A•••••••• L••banknRAUM $203M
- D• E•••••••• L••broker-dealern
- D• S••••••••• L••broker-dealern
Advisers that list D• C•••••• A•••••••• L•• as a related person
- 330325 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 27, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-09-24, no on the filing of 2026-03-27peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 5 to 7Sep 24, 2025 to Mar 27, 2026
- Advisory employees · 3 to 7Sep 24, 2025 to Mar 27, 2026
- Pooled vehicle clients · 5 to 7Sep 24, 2025 to Mar 27, 2026
- Assets in custody · $150M to $203MSep 24, 2025 to Mar 27, 2026
- Employees · 8 to 11Sep 24, 2025 to Mar 27, 2026
- Private funds · 6 to 5Sep 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $150M to $203MSep 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $150M to $203MSep 24, 2025 to Mar 27, 2026
- RAUM · $150M to $203MSep 24, 2025 to Mar 27, 2026
- Related bank · true to falseSep 24, 2025 to Mar 27, 2026
- Private funds · 7 to 6Mar 26, 2025 to Sep 24, 2025
- Assets in custody · unset to 149656450.0Aug 22, 2024 to Mar 26, 2025
- Custody of client assets · false to trueAug 22, 2024 to Mar 26, 2025
- Financial planning clients · unset to Aug 22, 2024 to Mar 26, 2025
- Private funds · 5 to 7Aug 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $109M to $150MAug 22, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $109M to $150MAug 22, 2024 to Mar 26, 2025
- RAUM · $109M to $150MAug 22, 2024 to Mar 26, 2025
Signals
1 dated events
- D• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 3, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- D• C•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 312-663-7111reportedpublic 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026