DFX Intelligence

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B••••••• C•••••• L••

Asset manager (funds and pooled vehicles)SEC-registered· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $35.8M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $35.8M
Advisors: 0
RAUM change, 1 year: -1.6%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-01-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 125121 · SEC 801-61782 · 15 filingsShow

CRD 125121SEC 801-61782First filing on the tape Feb 2, 2012, latest Jan 7, 2026SEC status approved since Feb 3, 2003IAPD

RAUM

$35.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM +6.9% a year over three years · the tape starts Feb 2, 2012

Peer group: Asset managers, under $100M, 329 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$35.8M as of Jan 7, 2026

Feb 2, 2012$59.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 7, 2026

Feb 2, 20120 then

Employees (5.A)1 as of Jan 7, 2026

Jan 16, 20132 then

Private funds: no history

RAUM -1.6% over the last fiscal year+6.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jan 7, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $35.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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 office incl. principal (1.F.5)
RAUM growth, one year: -1.6%derivedbetween 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 investment companiesreportedItem 5.G
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow

Investment companies$35.8M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••••• J•••• E••• · President/Chief Compliance Officercontrol
since 01/2003 · owns 75% or more

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $36.4M to $35.8M
Jan 14, 2025 to Jan 7, 2026
RAUM · $36.4M to $35.8M
Jan 14, 2025 to Jan 7, 2026
Financial planning clients · unset to
Jan 17, 2024 to Jan 14, 2025
Discretionary RAUM · $35.4M to $36.4M
Jan 17, 2024 to Jan 14, 2025
RAUM · $35.4M to $36.4M
Jan 17, 2024 to Jan 14, 2025

Full history · 38 changes

Discretionary RAUM · $29.3M to $35.4M
Jan 4, 2023 to Jan 17, 2024
RAUM · $29.3M to $35.4M
Jan 4, 2023 to Jan 17, 2024
Discretionary RAUM · $32.1M to $29.3M
Jan 4, 2022 to Jan 4, 2023
RAUM · $32.1M to $29.3M
Jan 4, 2022 to Jan 4, 2023
Discretionary RAUM · $29.3M to $32.1M
Jan 7, 2021 to Jan 4, 2022
RAUM · $29.3M to $32.1M
Jan 7, 2021 to Jan 4, 2022
Discretionary RAUM · $30.9M to $29.3M
Jan 21, 2020 to Jan 7, 2021
RAUM · $30.9M to $29.3M
Jan 21, 2020 to Jan 7, 2021
Advisory activities · 3 to 1
Jan 18, 2019 to Jan 21, 2020
Other offices · 1 to 0
Jan 18, 2019 to Jan 21, 2020
Discretionary RAUM · $36.1M to $30.9M
Jan 18, 2019 to Jan 21, 2020
RAUM · $36.1M to $30.9M
Jan 18, 2019 to Jan 21, 2020
Discretionary RAUM · $60.6M to $36.1M
Mar 23, 2018 to Jan 18, 2019
RAUM · $60.6M to $36.1M
Mar 23, 2018 to Jan 18, 2019
Other offices · unset to 1.0
Mar 27, 2017 to Mar 23, 2018
Discretionary RAUM · $68.0M to $60.6M
Mar 27, 2017 to Mar 23, 2018
RAUM · $68.0M to $60.6M
Mar 27, 2017 to Mar 23, 2018
Discretionary RAUM · $59.0M to $68.0M
Mar 10, 2016 to Mar 27, 2017
RAUM · $59.0M to $68.0M
Mar 10, 2016 to Mar 27, 2017
Accounts · 2 to 1
Jan 26, 2015 to Mar 10, 2016
Advisory employees · 2 to 1
Jan 26, 2015 to Mar 10, 2016
Advisory activities · 2 to 3
Jan 26, 2015 to Mar 10, 2016
Employees · 2 to 1
Jan 26, 2015 to Mar 10, 2016
Discretionary RAUM · $82.5M to $59.0M
Jan 26, 2015 to Mar 10, 2016
RAUM · $82.5M to $59.0M
Jan 26, 2015 to Mar 10, 2016
Discretionary RAUM · $83.0M to $82.5M
Feb 4, 2014 to Jan 26, 2015
RAUM · $83.0M to $82.5M
Feb 4, 2014 to Jan 26, 2015
Discretionary RAUM · $65.8M to $83.0M
Jan 16, 2013 to Feb 4, 2014
RAUM · $65.8M to $83.0M
Jan 16, 2013 to Feb 4, 2014
Advisory employees · unset to 2.0
Feb 2, 2012 to Jan 16, 2013
Employees · unset to 2.0
Feb 2, 2012 to Jan 16, 2013
Discretionary RAUM · $59.0M to $65.8M
Feb 2, 2012 to Jan 16, 2013
RAUM · $59.0M to $65.8M
Feb 2, 2012 to Jan 16, 2013

Signals

No event on the tape.

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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 7, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.