{ "crd_number": 285057, "slug": "dfn-management-llc-tampa-fl-285057", "primary_business_name": "DFN MANAGEMENT LLC.", "legal_name": "DFN MANAGEMENT LLC.", "dbas": [], "city": "Tampa", "state": "FL", "country": "United States", "cbsa_code": "45300", "metro": { "cbsa_code": "45300", "common_name": "Tampa", "msa_name": "Tampa-St. Petersburg-Clearwater, FL", "path": "/advisors/fl/tampa" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2024-01-05", "years_registered": 2, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 241367405.0, "raum_discretionary": 241367405.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 6, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 241367405.0, "count": 2 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL" ], "websites": [ "https://dfnalpha.com", "https://linkedin.com/company/dfn-management-llc" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/285057", "city_as_filed": "TAMPA", "url": "https://advisorcensus.com/firm/dfn-management-llc-tampa-fl-285057", "display_name": "DFN Management LLC.", "summary": "DFN Management LLC. is an SEC-registered investment advisory firm in Tampa, FL, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. DFN Management LLC. (CRD 285057): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is DFN Management LLC. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), DFN Management LLC. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is DFN Management LLC. located?", "a": "DFN Management LLC.'s principal office is in Tampa, FL, according to its Form ADV." }, { "q": "Is DFN Management LLC. registered with the SEC or a state?", "a": "DFN Management LLC. is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 285057." }, { "q": "How much does DFN Management LLC. manage?", "a": "DFN Management LLC. reports $241,367,405 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have DFN Management LLC.'s assets and staff changed since 2021?", "a": "In the Form ADV data for DFN Management LLC.: Regulatory assets under management: $155,429,716 in the October 2024 data and $241,367,405 in the October 2026 data, up 55%. Total employees: 3 in October 2024 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does DFN Management LLC. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2)." }, { "q": "Does DFN Management LLC. report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/285057" }, { "q": "What changed in DFN Management LLC.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 3 to 2. Regulatory assets under management went from $201,000,000 to $241,367,405 (+20%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2021-03-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2022-03-23" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2023-03-28" }, { "period": "2024-10-01", "regulatory_assets_under_management": 155429716.0, "total_employees": 3, "filing_date": "2024-05-01" }, { "period": "2025-10-01", "regulatory_assets_under_management": 201000000.0, "total_employees": 3, "filing_date": "2025-05-02" }, { "period": "2026-10-01", "regulatory_assets_under_management": 241367405.0, "total_employees": 6, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 3 to 2.", "Regulatory assets under management went from $201,000,000 to $241,367,405 (+20%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/dfn-management-llc-tampa-fl-285057.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 241367405.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/285057", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }