DFX Intelligence

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C•••••••• C•••••• M••••••••• L•

Wealth manager with institutional or fund businessSEC-registered1 private funds· Woodmere, New Yorkwebsite

Wealth manager with institutional or fund business, based in Woodmere, New York, reporting $105M of regulatory assets.

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

As of 2026-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $105M
Advisors: 0
RAUM change, 1 year: +1.0%
Private clients: 47%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-12 · 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 136253 · SEC 801-65332 · 19 filingsShow

CRD 136253SEC 801-65332First filing on the tape Dec 13, 2011, latest Mar 12, 2026SEC status approved since Jan 23, 2006IAPD

RAUM

$105M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

47%

$49.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM -3.8% a year over three years · the tape starts Dec 13, 2011

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

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

RAUM$105M as of Mar 12, 2026

Jan 31, 2012$164M then

HNW client RAUM$46.9M as of Mar 25, 2021

Mar 21, 2018$126M then

State-registered IARs (5.B.3)0 as of Mar 12, 2026

Feb 22, 20130 then

Employees (5.A)6 as of Mar 12, 2026

Feb 22, 201310 then

Private funds1 as of Mar 12, 2026

Jan 31, 20121 then

RAUM +1.0% over the last fiscal year-3.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 12, 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: unknownderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM 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: +1.0%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 assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $10.4M, 1 clientreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

53% pooled investment vehicles, 47% individuals

The breakdown by client type, and the client counts2 client typesShow

Pooled investment vehicles$55.6M53%
Individuals$49.0M47%

Individual clients: 91reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 93reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $10.4M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 47% private clients, 53% pooled funds, 0% institutions; no related broker-dealer; a 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

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

Fund	Type	Gross assets	Owners	First reported
C•••••••• O••••••••• M••••• F•••• L•	Hedge Fund	$55.6M	57	Dec 13, 2011
C•••••••• L••••• I••••• P•••••••• M••••• F•••• L•	Hedge Fund	$23.9M	11	Mar 18, 2019
C•••••••• L••••• S•••• D•••••••• L•no longer reported	Hedge Fund	$12.0M	9	Feb 27, 2014

Owners and control persons

Schedule A and B, latest filing

W••••••••• B•••••• M• · Limited Partner And Managing Partnercontrol
since 08/2004 · owns 50% to 75%
W•••• S••••••• M•••••• · Chief Compliance Officercontrol
since 09/2009 · owns less than 5%
W••••••••• B•••••• M• · Activecontrol
since 08/2004 · owns 75% or more of C•••••••• C•••••• M••••••••• L••

Entity owners

C•••••••• C•••••• M••••••••• L•• · General Partner
direct · owns 10% to 25%

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; 16 fund-person rows in all

Name	Where	Funds	Filings	Named
B••••• W••••••••executive officer	New York, NY	3	19	Jun 28, 2021 to Jun 28, 2023
J••• G•••••••director	New York, NY	2	8	Mar 11, 2021 to Mar 11, 2022
C•••••••• G•• L••entityexecutive officer	New York, NY	1	12	Mar 11, 2021 to Feb 24, 2026
C•••••••• C•••••• M••••••••• L•entityexecutive officer	New York, NY	1	9	Mar 11, 2021 to Feb 24, 2026
J••••• G•••••••director	New York, NY	1	7	n/a
S•••••• W•••director	Woodmere, NY	1	4	Feb 28, 2023 to Feb 24, 2026
C•••••••• C•••••• M••••••••• L••entityexecutive officer	New York, NY	1	4	n/a
A••••• E•••••••••director	George Town, Grand Cayman, E9	1	2	n/a

All 13 peoplenamed on the most funds first, then filings

Name	Where	Funds	Filings	Named
D•••• S•••••••director	George Town, Grand Cayman, E9	1	2	n/a
C•••••••• P•••••••• L•entityexecutive officer	New York, NY	1	1	n/a
E••• B•••••director	George Town, Grand Cayman, E9	1	1	n/a
J•••••• S••••••••executive officer	New York, NY	1	1	n/a
P••••• H•••••director	George Town, Grand Cayman, E9	1	1	n/a

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (2 of 13 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

C•••••••• G•• L••
bankpooled vehicle sponsorn
S••• C•••••• F••• L••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 89 to 93
Mar 12, 2025 to Mar 12, 2026
Individual clients · 87 to 91
Mar 12, 2025 to Mar 12, 2026
Assets in custody · $13.6M to $10.4M
Mar 12, 2025 to Mar 12, 2026
Discretionary RAUM · $103M to $104M
Mar 12, 2025 to Mar 12, 2026
Individual RAUM · $46.4M to $49.0M
Mar 12, 2025 to Mar 12, 2026

Full history · 80 changes

Non-discretionary RAUM · $119,074 to $105,335
Mar 12, 2025 to Mar 12, 2026
Pooled vehicle RAUM · $57.2M to $55.6M
Mar 12, 2025 to Mar 12, 2026
RAUM · $104M to $105M
Mar 12, 2025 to Mar 12, 2026
Accounts · 92 to 89
Mar 20, 2024 to Mar 12, 2025
Individual clients · 90 to 87
Mar 20, 2024 to Mar 12, 2025
Assets in custody · $18.0M to $13.6M
Mar 20, 2024 to Mar 12, 2025
Financial planning clients · unset to
Mar 20, 2024 to Mar 12, 2025
Discretionary RAUM · $115M to $103M
Mar 20, 2024 to Mar 12, 2025
Individual RAUM · $45.9M to $46.4M
Mar 20, 2024 to Mar 12, 2025
Non-discretionary RAUM · $254,148 to $119,074
Mar 20, 2024 to Mar 12, 2025
Pooled vehicle RAUM · $69.8M to $57.2M
Mar 20, 2024 to Mar 12, 2025
RAUM · $116M to $104M
Mar 20, 2024 to Mar 12, 2025
Accounts · 94 to 92
Mar 30, 2023 to Mar 20, 2024
Advisory employees · 7 to 6
Mar 30, 2023 to Mar 20, 2024
Pooled vehicle clients · 4 to 2
Mar 30, 2023 to Mar 20, 2024
Assets in custody · $19.4M to $18.0M
Mar 30, 2023 to Mar 20, 2024
Employees · 7 to 6
Mar 30, 2023 to Mar 20, 2024
Private funds · 2 to 1
Mar 30, 2023 to Mar 20, 2024
Discretionary RAUM · $117M to $115M
Mar 30, 2023 to Mar 20, 2024
Individual RAUM · $43.5M to $45.9M
Mar 30, 2023 to Mar 20, 2024
Non-discretionary RAUM · $254,001 to $254,148
Mar 30, 2023 to Mar 20, 2024
Pooled vehicle RAUM · $74.1M to $69.8M
Mar 30, 2023 to Mar 20, 2024
RAUM · $118M to $116M
Mar 30, 2023 to Mar 20, 2024
Accounts · 117 to 94
Feb 14, 2023 to Mar 30, 2023
Individual clients · 111 to 90
Feb 14, 2023 to Mar 30, 2023
Assets in custody · $23.7M to $19.4M
Feb 14, 2023 to Mar 30, 2023
Discretionary RAUM · $160M to $117M
Feb 14, 2023 to Mar 30, 2023
Individual RAUM · $68.8M to $43.5M
Feb 14, 2023 to Mar 30, 2023
Non-discretionary RAUM · $10.0M to $254,001
Feb 14, 2023 to Mar 30, 2023
Pooled vehicle RAUM · $101M to $74.1M
Feb 14, 2023 to Mar 30, 2023
RAUM · $170M to $118M
Feb 14, 2023 to Mar 30, 2023
Related adviser · false to true
Feb 14, 2023 to Mar 30, 2023
Advisory employees · 9 to 7
Mar 30, 2022 to Aug 31, 2022
Employees · 9 to 7
Mar 30, 2022 to Aug 31, 2022
HQ city · NEW YORK to WOODMERE
Mar 30, 2022 to Aug 31, 2022
Accounts · 144 to 117
Mar 25, 2021 to Mar 30, 2022
Advisory employees · 5 to 9
Mar 25, 2021 to Mar 30, 2022
Charity clients · 12.0 to unset
Mar 25, 2021 to Mar 30, 2022
Corporate clients · 11.0 to unset
Mar 25, 2021 to Mar 30, 2022
HNW clients · 45.0 to unset
Mar 25, 2021 to Mar 30, 2022
Individual clients · 70 to 111
Mar 25, 2021 to Mar 30, 2022
Assets in custody · $0 to $23.7M
Mar 25, 2021 to Mar 30, 2022
Employees · 5 to 9
Mar 25, 2021 to Mar 30, 2022
Discretionary RAUM · $180M to $160M
Mar 25, 2021 to Mar 30, 2022
HNW RAUM · 46885795.0 to unset
Mar 25, 2021 to Mar 30, 2022
Individual RAUM · $9.7M to $68.8M
Mar 25, 2021 to Mar 30, 2022
Non-discretionary RAUM · $4.7M to $10.0M
Mar 25, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $104M to $101M
Mar 25, 2021 to Mar 30, 2022
RAUM · $185M to $170M
Mar 25, 2021 to Mar 30, 2022
Accounts · 162 to 144
Jun 23, 2020 to Mar 25, 2021
Charity clients · 6 to 12
Jun 23, 2020 to Mar 25, 2021
Corporate clients · 17 to 11
Jun 23, 2020 to Mar 25, 2021
Individual clients · 90 to 70
Jun 23, 2020 to Mar 25, 2021
Discretionary RAUM · $185M to $180M
Jun 23, 2020 to Mar 25, 2021
HNW RAUM · $46.8M to $46.9M
Jun 23, 2020 to Mar 25, 2021
Individual RAUM · $14.2M to $9.7M
Jun 23, 2020 to Mar 25, 2021
Non-discretionary RAUM · $4.0M to $4.7M
Jun 23, 2020 to Mar 25, 2021
Pooled vehicle RAUM · $101M to $104M
Jun 23, 2020 to Mar 25, 2021
RAUM · $189M to $185M
Jun 23, 2020 to Mar 25, 2021
Accounts · 223 to 162
Mar 18, 2019 to Mar 12, 2020
Advisory employees · 8 to 5
Mar 18, 2019 to Mar 12, 2020
Charity clients · 7 to 6
Mar 18, 2019 to Mar 12, 2020
Corporate clients · 26 to 17
Mar 18, 2019 to Mar 12, 2020
HNW clients · 32 to 45
Mar 18, 2019 to Mar 12, 2020
Individual clients · 91 to 90
Mar 18, 2019 to Mar 12, 2020
Pooled vehicle clients · 5 to 4
Mar 18, 2019 to Mar 12, 2020
Employees · 8 to 5
Mar 18, 2019 to Mar 12, 2020
Other offices · 1 to 0
Mar 18, 2019 to Mar 12, 2020
Private funds · 3 to 2
Mar 18, 2019 to Mar 12, 2020
Discretionary RAUM · $196M to $185M
Mar 18, 2019 to Mar 12, 2020
HNW RAUM · $46.2M to $46.8M
Mar 18, 2019 to Mar 12, 2020
Individual RAUM · $11.5M to $14.2M
Mar 18, 2019 to Mar 12, 2020
Non-discretionary RAUM · $4.7M to $4.0M
Mar 18, 2019 to Mar 12, 2020
Pooled vehicle RAUM · $117M to $101M
Mar 18, 2019 to Mar 12, 2020
RAUM · $201M to $189M
Mar 18, 2019 to Mar 12, 2020

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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1) · the addresses open with an account

1 earlier address on Form ADV filings, the earliest seen Feb 22, 2013

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 12, 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.