{ "crd_number": 157337, "slug": "dfw-capital-partners-new-york-ny-157337", "primary_business_name": "DFW CAPITAL PARTNERS", "legal_name": "DFW CAPITAL MANAGEMENT, LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2012-03-30", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-03-23", "carried_forward": false, "raum_total": 2886164098.0, "raum_discretionary": 2886164098.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 25, "advisory_employees": 18, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 2886164098.0, "count": 7 } }, "compensation_types": [ "other", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT", "FL", "MD", "NJ", "NY", "UT" ], "websites": [ "https://dfwcapital.com", "https://linkedin.com/COMPANY/DFW-CAPITAL-PARTNERS" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157337", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/dfw-capital-partners-new-york-ny-157337", "display_name": "DFW Capital Partners", "summary": "DFW Capital Partners is an SEC-registered investment advisory firm in New York, NY, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 23, 2026.", "citation": "AdvisorCensus. DFW Capital Partners (CRD 157337): 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", "Other" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is DFW Capital Partners compensated?", "a": "On its Form ADV (Item 5.E, October 2026), DFW Capital Partners reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is DFW Capital Partners located?", "a": "DFW Capital Partners' principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 5 other offices (Schedule D, Section 1.F)." }, { "q": "Is DFW Capital Partners registered with the SEC or a state?", "a": "DFW Capital Partners is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 157337." }, { "q": "How much does DFW Capital Partners manage?", "a": "DFW Capital Partners reports $2,886,164,098 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (100% discretionary)." }, { "q": "How have DFW Capital Partners' assets and staff changed since 2021?", "a": "In the Form ADV data for DFW Capital Partners: Regulatory assets under management: $1,197,177,920 in the October 2021 data and $2,886,164,098 in the October 2026 data, up 141%. Total employees: 13 in October 2021 and 25 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does DFW Capital Partners serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (7)." }, { "q": "Does DFW Capital Partners 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/157337" }, { "q": "What changed in DFW Capital Partners' recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 17 to 18. Regulatory assets under management went from $2,206,236,485 to $2,886,164,098 (+31%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1197177920.0, "total_employees": 13, "filing_date": "2021-03-24" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1121339834.0, "total_employees": 16, "filing_date": "2022-03-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1915882930.0, "total_employees": 17, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2063636874.0, "total_employees": 19, "filing_date": "2024-03-25" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2206236485.0, "total_employees": 20, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2886164098.0, "total_employees": 25, "filing_date": "2026-03-23" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 17 to 18.", "Regulatory assets under management went from $2,206,236,485 to $2,886,164,098 (+31%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/dfw-capital-partners-new-york-ny-157337.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 7, "fewer_than_5": false, "raum": 2886164098.0 } ], "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/157337", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }