DFX Intelligence

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H••••• C•••••• M••••••••• L••

Wealth manager with institutional or fund businessSEC-registered2 private funds· New York, New Yorkwebsite

Wealth manager with institutional or fund business, based in New York, New York, reporting $475M of regulatory assets.

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

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $475M
Advisors: 0
RAUM change, 1 year: +29%
Private clients: 24%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 3 Mar 2026, RAUM $369M to $475M (+28.7%) on the Form ADV filed 3 Mar 2026.

Every filed figure, and the identifiersCRD 126343 · SEC 801-111811 · 19 filingsShow

CRD 126343SEC 801-111811First filing on the tape Sep 6, 2017, latest Mar 3, 2026SEC status approved since Oct 6, 2017IAPD

RAUM

$475M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

24%

$116M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +23% a year over three years · the tape starts Sep 6, 2017

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

RAUM$475M as of Mar 3, 2026

Feb 14, 2018$84.4M then

HNW client RAUM$116M as of Mar 3, 2026

Feb 14, 2018$5.9M then

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

Feb 14, 20180 then

Employees (5.A)6 as of Mar 3, 2026

Feb 14, 20185 then

Private funds2 as of Mar 3, 2026

Feb 14, 20182 then

RAUM +29% over the last fiscal year+23% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 3, 2026; every figure names its basis

Archetypes

Dual wealth and asset manager

The rule behind each archetype, and every derived figure1 ruleShow

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

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: $58.1MderivedHNW RAUM over HNW clients
Average account: $79.2MderivedRAUM 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: +29%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, hourly, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody: $475M, 6 clientsreportedItem 9.A
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

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

52% pooled investment vehicles, 24% high-net-worth individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Pooled investment vehicles$249M52%
High-net-worth individuals$116M24%
Investment companies$110M23%

Individual clients: 0reported
HNW clients: 2reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 6reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $475M for 6 clientsreported
Compensation: % of AUM, hourly, performancereported
Class basis: RAUM: 24% private clients, 76% 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

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H• F•••• F•••	Hedge Fund	$195M	10	Sep 6, 2017
H• F•••• F•••• L•	Hedge Fund	$53.8M	25	Sep 6, 2017

Owners and control persons

Schedule A and B, latest filing

H•••••• H••••• · Managing Membercontrol
since 04/2000 · owns 75% or more
N•••••••• A•••• · Chief Compliance Officer
since 03/2024 · owns less than 5%

Related persons

Schedule D 7.A

H• F•••• F•••• L•
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $369M to $475M
Feb 26, 2025 to Mar 3, 2026
Employees · 5 to 6
Feb 26, 2025 to Mar 3, 2026
Discretionary RAUM · $369M to $475M
Feb 26, 2025 to Mar 3, 2026
HNW RAUM · $90.3M to $116M
Feb 26, 2025 to Mar 3, 2026
Pooled vehicle RAUM · $210M to $249M
Feb 26, 2025 to Mar 3, 2026

Full history · 70 changes

RAUM · $369M to $475M
Feb 26, 2025 to Mar 3, 2026
Assets in custody · $252M to $369M
Mar 12, 2024 to Feb 26, 2025
Financial planning clients · 0 to 0
Mar 12, 2024 to Feb 26, 2025
Discretionary RAUM · $316M to $369M
Mar 12, 2024 to Feb 26, 2025
HNW RAUM · $70.2M to $90.3M
Mar 12, 2024 to Feb 26, 2025
Pooled vehicle RAUM · $168M to $210M
Mar 12, 2024 to Feb 26, 2025
RAUM · $316M to $369M
Mar 12, 2024 to Feb 26, 2025
Discretionary RAUM · $252M to $316M
Feb 14, 2023 to Feb 26, 2024
HNW RAUM · $70.8M to $70.2M
Feb 14, 2023 to Feb 26, 2024
Pooled vehicle RAUM · $116M to $168M
Feb 14, 2023 to Feb 26, 2024
RAUM · $252M to $316M
Feb 14, 2023 to Feb 26, 2024
Assets in custody · $480M to $252M
Mar 24, 2022 to Feb 14, 2023
Discretionary RAUM · $480M to $252M
Mar 24, 2022 to Feb 14, 2023
HNW RAUM · $104M to $70.8M
Mar 24, 2022 to Feb 14, 2023
Pooled vehicle RAUM · $187M to $116M
Mar 24, 2022 to Feb 14, 2023
RAUM · $480M to $252M
Mar 24, 2022 to Feb 14, 2023
Accounts · 5 to 6
Feb 17, 2021 to Feb 14, 2022
Assets in custody · $300M to $480M
Feb 17, 2021 to Feb 14, 2022
Discretionary RAUM · $300M to $480M
Feb 17, 2021 to Feb 14, 2022
HNW RAUM · $60.8M to $104M
Feb 17, 2021 to Feb 14, 2022
Pooled vehicle RAUM · $144M to $187M
Feb 17, 2021 to Feb 14, 2022
RAUM · $300M to $480M
Feb 17, 2021 to Feb 14, 2022
Accounts · 4 to 5
Jul 9, 2020 to Feb 17, 2021
HNW clients · 1 to 2
Jul 9, 2020 to Feb 17, 2021
Assets in custody · $203M to $300M
Jul 9, 2020 to Feb 17, 2021
Discretionary RAUM · $203M to $300M
Jul 9, 2020 to Feb 17, 2021
HNW RAUM · $30.6M to $60.8M
Jul 9, 2020 to Feb 17, 2021
Pooled vehicle RAUM · $114M to $144M
Jul 9, 2020 to Feb 17, 2021
RAUM · $203M to $300M
Jul 9, 2020 to Feb 17, 2021
Assets in custody · $120M to $203M
Feb 26, 2019 to Mar 27, 2020
Other offices · 1 to 0
Feb 26, 2019 to Mar 27, 2020
Discretionary RAUM · $121M to $203M
Feb 26, 2019 to Mar 27, 2020
HNW RAUM · $23.2M to $30.6M
Feb 26, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $81.5M to $114M
Feb 26, 2019 to Mar 27, 2020
RAUM · $121M to $203M
Feb 26, 2019 to Mar 27, 2020
Accounts · 3 to 4
Jul 6, 2018 to Feb 26, 2019
Assets in custody · $91.0M to $120M
Jul 6, 2018 to Feb 26, 2019
Discretionary RAUM · $91.0M to $121M
Jul 6, 2018 to Feb 26, 2019
HNW RAUM · $5.5M to $23.2M
Jul 6, 2018 to Feb 26, 2019
Pooled vehicle RAUM · $85.5M to $81.5M
Jul 6, 2018 to Feb 26, 2019
RAUM · $91.0M to $121M
Jul 6, 2018 to Feb 26, 2019
Accounts · 4 to 3
Apr 16, 2018 to Jul 6, 2018
HNW clients · 2 to 1
Apr 16, 2018 to Jul 6, 2018
Assets in custody · $84.4M to $91.0M
Apr 16, 2018 to Jul 6, 2018
Discretionary RAUM · $84.4M to $91.0M
Apr 16, 2018 to Jul 6, 2018
HNW RAUM · $5.9M to $5.5M
Apr 16, 2018 to Jul 6, 2018
Pooled vehicle RAUM · $78.5M to $85.5M
Apr 16, 2018 to Jul 6, 2018
RAUM · $84.4M to $91.0M
Apr 16, 2018 to Jul 6, 2018
Advisory activities · 2 to 3
Sep 7, 2017 to Feb 14, 2018
Charity clients · unset to 0.0
Sep 7, 2017 to Feb 14, 2018
Corporate clients · unset to 0.0
Sep 7, 2017 to Feb 14, 2018
HNW clients · unset to 2.0
Sep 7, 2017 to Feb 14, 2018
Individual clients · unset to 0.0
Sep 7, 2017 to Feb 14, 2018
Pension plan clients · unset to 0.0
Sep 7, 2017 to Feb 14, 2018
Pooled vehicle clients · unset to 2.0
Sep 7, 2017 to Feb 14, 2018
Assets in custody · unset to 84402943.0
Sep 7, 2017 to Feb 14, 2018
Custody of client assets · false to true
Sep 7, 2017 to Feb 14, 2018
Other offices · unset to 1.0
Sep 7, 2017 to Feb 14, 2018
Discretionary RAUM · $78.1M to $84.4M
Sep 7, 2017 to Feb 14, 2018
HNW RAUM · unset to 5939116.0
Sep 7, 2017 to Feb 14, 2018
Individual RAUM · unset to 0.0
Sep 7, 2017 to Feb 14, 2018
Pension RAUM · unset to 0.0
Sep 7, 2017 to Feb 14, 2018
Pooled vehicle RAUM · unset to 78463827.0
Sep 7, 2017 to Feb 14, 2018
RAUM · $78.1M to $84.4M
Sep 7, 2017 to Feb 14, 2018
Advisory activities · 3 to 2
Sep 6, 2017 to Sep 7, 2017

Signals

6 dated events

••• Locked
Mar 3, 2026 · RAUM change · derived
••• Locked
Mar 3, 2026 · ria principal change · fact
••• Locked
Mar 3, 2026 · ria principal change · derived
••• Locked
Feb 14, 2023 · RAUM change · derived
••• Locked
Feb 14, 2022 · RAUM change · derived

Full timeline · 6 events

••• Locked
Sep 6, 2017 · First SEC registration · fact

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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 3, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 3, 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: Wealth manager with institutional or fund businessderiveda 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.