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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

DFN MANAGEMENT LLC.

CRD 285057

TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c80d64e7-7004-d489-d294-f7c0346472c0

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Dec 5, 2023 to Mar 31, 2026
6 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $241MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $241M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Private funds: 2Schedule D 7.B(1)
Custody, client assets: $241M
SEC number: 801-129302
CRD: 285057
Filings on the tape: 6
First filed: Dec 5, 2023
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, DE

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
DFN ALPHA 90/10 FUND LP	Hedge Fund	$126M	Dec 11, 2024	34	Aug 23, 2016	reported	021-256680
DFN ALPHA ADVANTAGE FUND LP	Hedge Fund	$29.2M	Dec 11, 2024	36	Aug 23, 2016	reported	021-256681

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Flagg, Donald, Clifford	MEMBER AND INVESTMENT OFFICER	C	yes	09/2015	Dec 5, 2023	Dec 11, 2024
KOEN, NICHOLAS, JOHN	MANAGING MEMBER	C	yes	05/2022	Dec 5, 2023	Dec 11, 2024
NIRGUDKAR, AMOL, A	MEMBER AND MANAGING OFFICER	C	yes	09/2015	Dec 5, 2023	Dec 11, 2024
Paverman, Mark, Elliot	CHIEF COMPLIANCE OFFICER	Na	yes	12/2024	Dec 11, 2024	Dec 11, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$241M	$241M	6	2	0	2	n/a
2023	Mar 28, 2024	$155M	$155M	3	3	0	2	$155M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$241M	n/a	n/a	n/a	n/a	6	n/a	0	n/a

Relationships

Affiliated with (2)

← SUPERIOR PLANNING WEALTH MANAGEMENT & FAMILY OFFICERegistered adviserother investment adviser, common control
factForm ADV
← VECTORWEALTHRegistered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ DFN ALPHA ADVANTAGE FUND LPPrivate fundHedge Fund, IA
Aug 23, 2016 to presentfactForm ADV
→ DFN ALPHA 90/10 FUND LPPrivate fundHedge Fund, IA
Aug 23, 2016 to presentfactForm ADV

Controls (4)

← Paverman, Mark, ElliotOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 11, 2024 to Dec 11, 2024factForm ADV
← NIRGUDKAR, AMOL, AOwnerMEMBER AND MANAGING OFFICER, ownership code C, individual
Dec 5, 2023 to Dec 11, 2024factForm ADV
← KOEN, NICHOLAS, JOHNOwnerMANAGING MEMBER, ownership code C, individual
Dec 5, 2023 to Dec 11, 2024factForm ADV
← Flagg, Donald, CliffordOwnerMEMBER AND INVESTMENT OFFICER, ownership code C, individual
Dec 5, 2023 to Dec 11, 2024factForm ADV

Dated events

Occurred
Dec 11, 2024
Control person left
Andrew Constantine Pelos (Chief Compliance Officer) no longer on Schedule A of Dfn Management Llc. (listed 2024-05-01, absent 2024-12-11)
Form ADVobserved 6 days ago
Occurred
Dec 11, 2024
Control person joined
Elliot Mark Paverman (Chief Compliance Officer) appeared on Schedule A of Dfn Management Llc.
Form ADVobserved 6 days ago
Occurred
Mar 28, 2024
Control person joined
Andrew Constantine Pelos (Chief Compliance Officer) appeared on Schedule A of Dfn Management Llc.
Form ADVobserved 6 days ago
Occurred
Dec 5, 2023
First Form ADV filing
Dfn Management Llc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c80d64e7-7004-d489-d294-f7c0346472c0
First observed: Dec 5, 2023
Last observed: Mar 31, 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.

DFN MANAGEMENT LLC.

CRD 285057

TAMPA, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c80d64e7-7004-d489-d294-f7c0346472c0

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:09 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

DFN ALPHA 90/10 FUND LP

Hedge Fund

$126M

Dec 11, 2024

Aug 23, 2016

reported

021-256680

DFN ALPHA ADVANTAGE FUND LP

Hedge Fund

$29.2M

Dec 11, 2024

Aug 23, 2016

reported

021-256681

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Flagg, Donald, Clifford

MEMBER AND INVESTMENT OFFICER

yes

09/2015

Dec 5, 2023

Dec 11, 2024

KOEN, NICHOLAS, JOHN

MANAGING MEMBER

yes

05/2022

Dec 5, 2023

Dec 11, 2024

NIRGUDKAR, AMOL, A

MEMBER AND MANAGING OFFICER

yes

09/2015

Dec 5, 2023

Dec 11, 2024

Paverman, Mark, Elliot

CHIEF COMPLIANCE OFFICER

yes

12/2024

Dec 11, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$241M

n/a

2023

Mar 28, 2024

$155M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$241M

n/a