DFX Intelligence

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I•••• I••••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $2.7B of regulatory assets.

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

As of 2018-10-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $2.7B
RAUM change, 1 year: -39%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2018-10-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 4 Oct 2018, RAUM $4.39B to $2.67B (-39.1%) on the Form ADV filed 4 Oct 2018.

Every filed figure, and the identifiersCRD 137370 · SEC 801-65140 · 20 filingsShow

CRD 137370SEC 801-65140First filing on the tape Mar 29, 2012, latest Oct 4, 2018IAPD

RAUM

$2.7B

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

12 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$2.6B gross assets

History

20 filings and snapshots on the tape

RAUM -11% a year over three years · the tape starts Mar 29, 2012

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

RAUM$2.7B as of Mar 27, 2018

Mar 30, 2012$3.9B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2018

Mar 30, 20120 then

Employees (5.A)31 as of Mar 27, 2018

Mar 28, 201341 then

Private funds3 as of Mar 27, 2018

Mar 30, 20125 then

RAUM -39% over the last fiscal year-11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Oct 4, 2018; 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: $267MderivedRAUM 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: -39%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 pooled vehiclesreportedItem 5.G
Custody: $2.6B, 9 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)
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

100% pooled investment vehicles

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

Pooled investment vehicles$2.7B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 10reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $2.6B for 9 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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

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

Fund	Type	Gross assets	Owners	First reported
I•••• O•••••• M•••••• L•••	Hedge Fund	$1.3B	121	Mar 29, 2012
I•••• L••• M•••••• L•••	Hedge Fund	$723M	38	Mar 28, 2014
I•••• F••••••• M•••••• L•••	Hedge Fund	$493M	115	Mar 29, 2012
I•••• A•••• M•••••• L•••no longer reported	Hedge Fund	$52.4M	5	Mar 29, 2012
I•• A••••••••• L•••no longer reported	Hedge Fund	$26.7M	1	Mar 29, 2012

All 7 private fundslargest gross assets first

Fund	Type	Gross assets	Owners	First reported
I•••• O••••••• E•• I• L•••no longer reported	Hedge Fund	$17.6M	10	Jul 10, 2014
I•••• S••••• O••••••••• F•••• L•••no longer reported	Hedge Fund	$13.6M	2	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

C•••••• M••••••• J••• · Chief Financial Officercontrol
since 01/2013 · owns less than 5%
K••••••••• M•••••••• •••••••• M•••• · General Counsel, Chief Compliance Officercontrol
since 07/2018 · owns less than 5%
M••••••••• C•••••• G•• · Sole Managercontrol
since 12/2015 · owns less than 5%
W••••••• M•••• N•• · President, Chief Operating Officercontrol
since 04/2013 · owns less than 5%
M••••••••• C•••••• G•• · Managing Membercontrol
since 07/2002 · owns 50% to 75% of I•• G•• L••

All 7 control persons

M••••••••• C•••••• G•• · Limited Partnercontrol
since 12/2015 · owns 50% to 75% of I•• H••••• L•
C••••••• N•••• P•••• A••••• · Co-Head Portfolio Manager
since 01/2017 · owns less than 5%

Entity owners

I•• H••••• L• · Member
direct · owns 75% or more
A••••••••• M••••••• G••••• I••• · Member And Manager
indirect · owns 75% or more of A•• C• H•••••••• L•• · public reporting company
A••••••••• M••••••• G••••• I••• · Partner
indirect · owns 75% or more of A•• C• H••••••• L• · public reporting company
A•• C• H••••••• C•••• · General Partner
indirect · owns F of A•• C• H••••••• L•
A•• C• H••••••• C•••• · General Partner
indirect · owns F of I•• A••••••••• L•

All 9 entity owners

A•• C• H••••••• L• · Partner
indirect · owns 75% or more of I•• A••••••••• L•
A•• C• H•••••••• L•• · Shareholder
indirect · owns 75% or more of A•• C• H••••••• C••••
I•• G•• L•• · General Partner
indirect · owns F of I•• H•••••, LP
I•• A••••••••• L• · Member
direct · owns 10% to 25%

Related persons

Schedule D 7.A

I•••• C•••••• A•••••••• L••
bankpooled vehicle sponsorn
I•••• C•••••• G••••• L••
pooled vehicle sponsorn
I•••• F••••••• F••• G•• L••
bankpooled vehicle sponsorn
I•••• O•••••• F••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

HQ city · LOS ANGELES to NEW YORK
Jul 10, 2018 to Oct 4, 2018
HQ state · CA to NY
Jul 10, 2018 to Oct 4, 2018
Advisory employees · 15 to 12
Feb 22, 2018 to Mar 27, 2018
Assets in custody · $4.1B to $2.6B
Feb 22, 2018 to Mar 27, 2018
Employees · 39 to 31
Feb 22, 2018 to Mar 27, 2018

Full history · 51 changes

Discretionary RAUM · $4.4B to $2.7B
Feb 22, 2018 to Mar 27, 2018
Pooled vehicle RAUM · unset to 2670738263.0
Feb 22, 2018 to Mar 27, 2018
RAUM · $4.4B to $2.7B
Feb 22, 2018 to Mar 27, 2018
Pooled vehicle clients · unset to 10.0
Mar 24, 2017 to Feb 22, 2018
Other offices · unset to 0.0
Mar 24, 2017 to Feb 22, 2018
Accounts · 11 to 10
Jul 21, 2016 to Mar 24, 2017
Advisory employees · 17 to 15
Jul 21, 2016 to Mar 24, 2017
Assets in custody · $5.2B to $4.1B
Jul 21, 2016 to Mar 24, 2017
Employees · 44 to 39
Jul 21, 2016 to Mar 24, 2017
State-registered IARs · 1 to 0
Jul 21, 2016 to Mar 24, 2017
Private funds · 4 to 3
Jul 21, 2016 to Mar 24, 2017
Discretionary RAUM · $5.6B to $4.4B
Jul 21, 2016 to Mar 24, 2017
RAUM · $5.6B to $4.4B
Jul 21, 2016 to Mar 24, 2017
Business name · I•••• I••••••••• M••••••••• L••• to I•••• I••••••••• M••••••••• L••
Mar 23, 2016 to Jul 21, 2016
Assets in custody · $3.5B to $5.2B
Jan 26, 2016 to Mar 23, 2016
Employees · 42 to 44
Jan 26, 2016 to Mar 23, 2016
Legal name · I•••• I••••••••• M••••••••• L••• to I•••• I••••••••• M••••••••• L••
Jan 26, 2016 to Mar 23, 2016
Discretionary RAUM · $3.8B to $5.6B
Jan 26, 2016 to Mar 23, 2016
RAUM · $3.8B to $5.6B
Jan 26, 2016 to Mar 23, 2016
Succession · true to false
Jan 26, 2016 to Mar 23, 2016
Organization form · Limited Partnership to Limited Liability Company
Mar 30, 2015 to Jan 26, 2016
Succession · false to true
Mar 30, 2015 to Jan 26, 2016
Accounts · 10 to 11
Jul 10, 2014 to Mar 30, 2015
Assets in custody · $3.6B to $3.5B
Jul 10, 2014 to Mar 30, 2015
Employees · 36 to 42
Jul 10, 2014 to Mar 30, 2015
Private funds · 5 to 4
Jul 10, 2014 to Mar 30, 2015
Discretionary RAUM · $3.6B to $3.8B
Jul 10, 2014 to Mar 30, 2015
RAUM · $3.6B to $3.8B
Jul 10, 2014 to Mar 30, 2015
Private funds · 4 to 5
Mar 28, 2014 to Jul 10, 2014
Accounts · 8 to 10
Jan 23, 2014 to Mar 28, 2014
Advisory employees · 21 to 17
Jan 23, 2014 to Mar 28, 2014
Assets in custody · $3.4B to $3.6B
Jan 23, 2014 to Mar 28, 2014
Employees · 41 to 36
Jan 23, 2014 to Mar 28, 2014
Discretionary RAUM · $3.4B to $3.6B
Jan 23, 2014 to Mar 28, 2014
RAUM · $3.4B to $3.6B
Jan 23, 2014 to Mar 28, 2014
Related adviser · true to false
Jan 23, 2014 to Mar 28, 2014
Accounts · 11 to 8
Jan 7, 2013 to Mar 28, 2013
Advisory employees · 23 to 21
Jan 7, 2013 to Mar 28, 2013
Assets in custody · $3.9B to $3.4B
Jan 7, 2013 to Mar 28, 2013
Employees · 44 to 41
Jan 7, 2013 to Mar 28, 2013
Private funds · 5 to 4
Jan 7, 2013 to Mar 28, 2013
Discretionary RAUM · $3.9B to $3.4B
Jan 7, 2013 to Mar 28, 2013
RAUM · $3.9B to $3.4B
Jan 7, 2013 to Mar 28, 2013
Advisory employees · unset to 23.0
Jul 3, 2012 to Jan 7, 2013
Employees · unset to 44.0
Jul 3, 2012 to Jan 7, 2013
State-registered IARs · 0 to 1
Jul 3, 2012 to Jan 7, 2013

Signals

2 dated events

••• Locked
Mar 27, 2018 · RAUM change · derived
••• Locked
Jan 26, 2016 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda 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