DFX Intelligence

U••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

U••••••••

U•••••••• FUNDS, INC., CRD 322644

NEW YORK, NY

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Data as of Apr 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 5
On other graphs: 2
Observed: Jul 21, 2022 to Apr 17, 2026
8 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

U••••••••

Private equity manager · same SEC CIK, same CRD, same SEC file number

Independent Sponsorsidentity

U••••••••

Capital provider to sponsors · same SEC CIK, same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderived••• Locked
Regulatory AUM: $174M••• Locked
Discretionary RAUM: $174M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
V••••• F••• I••• L•	Private Equity Fund	$46.0M	Apr 17, 2026	79	Mar 31, 2022	reported	021-448838
U•••••••• H••• S••• F••• L•	Hedge Fund	$12.3M	Mar 29, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• R•••••• T•••••	DIRECTOR & CEO & CHIEF INVESTMENT OFFICER	C	yes	02/2022	Jul 21, 2022	Mar 29, 2024
S•••••••• M••••••	MANAGING MEMBER	E	yes	05/2023	Jul 21, 2022	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• S•••••••	n/a	n/a	n/a	N	no	n/a
U•••••••• H••• S••• F••• G• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Princeton	Nj	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 17, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$174M	$32.4M	437.8%	$68.0M	36.9%	6	8	0	1

Relationships

Advises (2)

→ V••••• F••• I••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ U•••••••• H••• S••• F••• L•Private fundHedge Fund, IA, no longer reported
Dec 6, 2022 to Mar 29, 2024factForm ADV

Controls (3)

← S•••••••• M•••••••• A••OwnerCCO & COO, ownership code NA, individual
Aug 18, 2023 to Mar 29, 2024factForm ADV
← E••••••• R•••••• T•••••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
17 Apr 2026
Ria office closed
••• Locked
Form ADV
Occurred
18 Aug 2023
Control person joined
••• Locked
Form ADV
Occurred
21 Jul 2022
First Form ADV filing
••• Locked
Form ADV

Show 2 bookkeeping events

Occurred
Apr 17, 2026
••• Locked
Occurred
Apr 17, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 21, 2022
Last observed: Apr 17, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.