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••••••• P••••••••
Legal name D••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Nov 18, 2024 · 5 filings
SEC status approved since May 28, 2025
RAUM
$9.6B
reported, Item 5.F
Discretionary
95%
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
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$9.6B as of Apr 8, 2026
Jun 27, 2025$6.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 8, 2026
Jun 27, 20250 then
Employees (5.A)10 as of Apr 8, 2026
Jun 27, 20258 then
Private funds10 as of Apr 8, 2026
Jun 27, 20259 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 10, 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
- $875MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $5.4B, 9 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.4B for 9 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• V•••••• F••• L• | Hedge Fund | $861M | 3 | Jun 11, 2024 |
| D••••••• D••••••••• F••• L• | Hedge Fund | $257M | 2 | Aug 13, 2024 |
Owners and control persons
Schedule A and B, latest filing
- J•••••• M••••••• K•••• · Chief Executive Officercontrolsince 01/2023 · owns less than 5%
- W•••• T•••••• L••• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- E••••••• W••••••• D•••••• · Membercontrolsince 03/2024 · owns 25% to 50% of F••• F•••••• L•
Entity owners
- W•••••• C•••••• L•• · Sole Memberdirect · owns 75% or more
- F••• F•••••• L• · Sole L•••••• Partnerindirect · owns 75% or more of F••• H•••• L•
- F••• F••• L•• · General Partnerindirect · owns F of F••• H•••• L•
- F••• H•••• L• · Sole Memberindirect · owns 75% or more of W•••••• C•••••• L••
Related persons
Schedule D 7.A
- D••••••• G• L••pooled vehicle sponsorn
- W•••••• C•••••• ••••• L••••••investment advisern
- W•••••• C•••••• ••• L••••••investment advisern
- W•••••• C•••••• L••investment adviserbankpooled vehicle sponsornRAUM $52B
- W•••••• T•••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetApr 8, 2026 to Sep 10, 2026
- Private funds · 10 to unsetApr 8, 2026 to Sep 10, 2026
- Succession · false to unsetApr 8, 2026 to Sep 10, 2026
- Accounts · 10 to 11Jun 27, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Jun 27, 2025 to Mar 31, 2026
- Employees · 8 to 10Jun 27, 2025 to Mar 31, 2026
- Private funds · 9 to 10Jun 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.4B to $9.1BJun 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $609M to $509MJun 27, 2025 to Mar 31, 2026
- RAUM · $6.0B to $9.6BJun 27, 2025 to Mar 31, 2026
- Accounts · 2 to 10Nov 18, 2024 to Jun 27, 2025
- Pooled vehicle clients · 2.0 to unsetNov 18, 2024 to Jun 27, 2025
- Assets in custody · $1.1B to $5.4BNov 18, 2024 to Jun 27, 2025
- Financial planning clients · unset to Nov 18, 2024 to Jun 27, 2025
- Private funds · 2 to 9Nov 18, 2024 to Jun 27, 2025
- Discretionary RAUM · $1.1B to $5.4BNov 18, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $0 to $609MNov 18, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · 1118046149.0 to unsetNov 18, 2024 to Jun 27, 2025
- RAUM · $1.1B to $6.0BNov 18, 2024 to Jun 27, 2025
Signals
3 dated events
- D••••••• P•••••••• reported RAUM $9.6B, up 60% from $6.0B (2025-06-27 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D••••••• P•••••••• reported RAUM $6.0B, up 437% from $1.1B (2024-11-18 to 2025-06-27)Jun 27, 2025 · RAUM change · derived
- D••••••• P•••••••• filed its initial SEC registration (Form ADV)Nov 18, 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
- docksideplatforms.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-563-4874reportedpublic record, Form ADV, Sep 10, 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
- Other adviserderiveda 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