DFX Intelligence

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G••••• C••••• A•••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered6 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $506M of regulatory assets.

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

As of 2026-08-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $506M
Advisors: 0
RAUM change, 1 year: -40%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-08-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

2 changes
ownership and control
1 control person joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
-39.8%
RAUM, one year
RAUM $840M to $506M (-39.8%) on the Form ADV filed 5 Aug 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 147843 · SEC 801-69725 · 32 filingsShow

CRD 147843SEC 801-69725First filing on the tape Mar 15, 2012, latest Aug 5, 2026SEC status approved since Nov 25, 2008IAPD

RAUM

$506M

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

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM -27% a year over three years · the tape starts Mar 15, 2012

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

RAUM$506M as of Aug 5, 2026

Mar 15, 2012$622M then

HNW client RAUM: no history

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

Mar 26, 20130 then

Employees (5.A)14 as of Aug 5, 2026

Mar 26, 201315 then

Private funds6 as of Aug 5, 2026

Mar 15, 20124 then

RAUM -40% over the last fiscal year-27% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 5, 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: $63.2MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -40%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 vehicles, 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

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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

87% pooled investment vehicles, 13% investment companies

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

Pooled investment vehicles$441M87%
Investment companies$65.1M13%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 8reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% 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

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

Fund	Type	Gross assets	Owners	First reported
G•• E••••••• M••••• F•••• L•••	Hedge Fund	$291M	38	Mar 28, 2019
G•• E••••••• O••••••• F•••• L•••	Hedge Fund	$135M	25	Mar 28, 2019
G•• C••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$45.9M	20	Mar 15, 2012
G•• C••••• O••••••••• F•••• L••	Hedge Fund	$28.4M	14	Mar 15, 2012
G•• E••••••• F•••• L••	Hedge Fund	$24.6M	13	Mar 28, 2019

All 7 private fundslargest gross assets first

Fund	Type	Gross assets	Owners	First reported
G•• C••••• O••••••••• O••••••• P••• A••••• F•••• L•••no longer reported	Hedge Fund	$8.4M	0	Mar 15, 2012
G•• C••••• O••••••••• O••••••• F•••• L•••	Hedge Fund	$7.5M	6	Mar 15, 2012

Owners and control persons

Schedule A and B, latest filing

H•••••• B••••• L••••• · Chief Operating Officercontrol
since 06/2008 · owns 25% to 50%
H••••••••• S••••• · Chief Executive Officercontrol
since 03/2008 · owns 50% to 75%
P••••• F••••• T••••• · Chief Financial Officercontrol
since 09/2021 · owns less than 5%
H••••••••• S••••• · L•••••• Partnercontrol
since 07/2014 · owns 25% to 50% of H•••••••• F••••• L•••••• P••••••••• I•
F•••• T••••••• P••• · Chief Compliance Officer
since 06/2008 · owns less than 5%

Entity owners

S••••• S• H•••••••• D••••••••• T•••• F•• J••••• I• · L•••••• Partner, Trustee
indirect · owns 25% to 50% of H•••••••• F••••• L•••••• P••••••••• I•
S••••• S• H•••••••• D••••••••• T•••• F•• J••• I• · L•••••• Partner, Trustee
indirect · owns 25% to 50% of H•••••••• F••••• L•••••• P••••••••• I•
H•••••••• F••••• L•••••• P••••••••• I• · Member
direct · owns 10% to 25%

Related persons

Schedule D 7.A

G••••• C••••• C••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Juno Beach, FL1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Mar 26, 2026
RAUM (Item 5.F) moved from $840,049,262 to $505,660,168 (-40.0%) between the annual amendments of 2025-03-25 and 2026-03-26; the peer median change was +8.0% (671 comparable advisers, 3.0th percentile of changes)
peers: asset managers, $500M to $1B (671) · 3.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Discretionary RAUM · $840M to $506M
Mar 25, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $770M to $441M
Mar 25, 2025 to Mar 26, 2026
RAUM · $840M to $506M
Mar 25, 2025 to Mar 26, 2026
Accounts · 9 to 8
Apr 2, 2024 to Mar 25, 2025
Advisory employees · 8 to 7
Apr 2, 2024 to Mar 25, 2025

Full history · 78 changes

Pooled vehicle clients · 8 to 7
Apr 2, 2024 to Mar 25, 2025
Employees · 15 to 14
Apr 2, 2024 to Mar 25, 2025
Financial planning clients · unset to
Apr 2, 2024 to Mar 25, 2025
Discretionary RAUM · $1.0B to $840M
Apr 2, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $961M to $770M
Apr 2, 2024 to Mar 25, 2025
RAUM · $1.0B to $840M
Apr 2, 2024 to Mar 25, 2025
Accounts · 10 to 9
Mar 28, 2023 to Mar 21, 2024
Advisory employees · 9 to 8
Mar 28, 2023 to Mar 21, 2024
Pooled vehicle clients · 9 to 8
Mar 28, 2023 to Mar 21, 2024
Employees · 16 to 15
Mar 28, 2023 to Mar 21, 2024
Discretionary RAUM · $1.3B to $1.0B
Mar 28, 2023 to Mar 21, 2024
Pooled vehicle RAUM · $1.3B to $961M
Mar 28, 2023 to Mar 21, 2024
RAUM · $1.3B to $1.0B
Mar 28, 2023 to Mar 21, 2024
Accounts · 11 to 10
Nov 15, 2022 to Mar 28, 2023
Pooled vehicle clients · 10 to 9
Nov 15, 2022 to Mar 28, 2023
Other offices · 0 to 1
Nov 15, 2022 to Mar 28, 2023
Private funds · 7 to 6
Nov 15, 2022 to Mar 28, 2023
Discretionary RAUM · $1.6B to $1.3B
Nov 15, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $1.5B to $1.3B
Nov 15, 2022 to Mar 28, 2023
RAUM · $1.6B to $1.3B
Nov 15, 2022 to Mar 28, 2023
Accounts · 10 to 11
Sep 14, 2021 to Mar 30, 2022
Pooled vehicle clients · 9 to 10
Sep 14, 2021 to Mar 30, 2022
Discretionary RAUM · $1.1B to $1.6B
Sep 14, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $1.1B to $1.5B
Sep 14, 2021 to Mar 30, 2022
RAUM · $1.1B to $1.6B
Sep 14, 2021 to Mar 30, 2022
Accounts · 9 to 10
Apr 9, 2020 to Mar 19, 2021
Advisory activities · 1 to 2
Apr 9, 2020 to Mar 19, 2021
Discretionary RAUM · $748M to $1.1B
Apr 9, 2020 to Mar 19, 2021
Pooled vehicle RAUM · $748M to $1.1B
Apr 9, 2020 to Mar 19, 2021
RAUM · $748M to $1.1B
Apr 9, 2020 to Mar 19, 2021
Accounts · 8 to 9
Jul 31, 2019 to Mar 27, 2020
Pooled vehicle clients · 8 to 9
Jul 31, 2019 to Mar 27, 2020
Discretionary RAUM · $634M to $748M
Jul 31, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $634M to $748M
Jul 31, 2019 to Mar 27, 2020
RAUM · $634M to $748M
Jul 31, 2019 to Mar 27, 2020
Accounts · 5 to 8
Mar 19, 2018 to Mar 28, 2019
Advisory employees · 10 to 9
Mar 19, 2018 to Mar 28, 2019
Pooled vehicle clients · 5 to 8
Mar 19, 2018 to Mar 28, 2019
Employees · 17 to 16
Mar 19, 2018 to Mar 28, 2019
Private funds · 4 to 7
Mar 19, 2018 to Mar 28, 2019
Discretionary RAUM · $1.0B to $634M
Mar 19, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $1.0B to $634M
Mar 19, 2018 to Mar 28, 2019
RAUM · $1.0B to $634M
Mar 19, 2018 to Mar 28, 2019
Pooled vehicle clients · unset to 5.0
Mar 16, 2017 to Mar 19, 2018
Other offices · unset to 0.0
Mar 16, 2017 to Mar 19, 2018
Discretionary RAUM · $1.3B to $1.0B
Mar 16, 2017 to Mar 19, 2018
Pooled vehicle RAUM · unset to 1026124046.0
Mar 16, 2017 to Mar 19, 2018
RAUM · $1.3B to $1.0B
Mar 16, 2017 to Mar 19, 2018
Advisory employees · 9 to 10
Sep 6, 2016 to Mar 16, 2017
Employees · 16 to 17
Sep 6, 2016 to Mar 16, 2017
Discretionary RAUM · $955M to $1.3B
Sep 6, 2016 to Mar 16, 2017
RAUM · $955M to $1.3B
Sep 6, 2016 to Mar 16, 2017
Accounts · 4 to 5
Mar 25, 2015 to Mar 15, 2016
Advisory employees · 10 to 9
Mar 25, 2015 to Mar 15, 2016
Discretionary RAUM · $957M to $955M
Mar 25, 2015 to Mar 15, 2016
RAUM · $957M to $955M
Mar 25, 2015 to Mar 15, 2016
Employees · 15 to 16
Mar 5, 2014 to Mar 25, 2015
Discretionary RAUM · $806M to $957M
Mar 5, 2014 to Mar 25, 2015
RAUM · $806M to $957M
Mar 5, 2014 to Mar 25, 2015
Related adviser · true to false
Mar 5, 2014 to Mar 25, 2015
Discretionary RAUM · $751M to $806M
Dec 19, 2013 to Mar 5, 2014
RAUM · $751M to $806M
Dec 19, 2013 to Mar 5, 2014
Advisory employees · unset to 10.0
Aug 20, 2012 to Mar 26, 2013
Assets in custody · 579560000.0 to unset
Aug 20, 2012 to Mar 26, 2013
Custody of client assets · true to false
Aug 20, 2012 to Mar 26, 2013
Employees · unset to 15.0
Aug 20, 2012 to Mar 26, 2013
State-registered IARs · unset to 0.0
Aug 20, 2012 to Mar 26, 2013
Discretionary RAUM · $580M to $751M
Aug 20, 2012 to Mar 26, 2013
RAUM · $580M to $751M
Aug 20, 2012 to Mar 26, 2013
Related bank · false to true
Aug 20, 2012 to Mar 26, 2013
Assets in custody · $622M to $580M
Mar 15, 2012 to Aug 20, 2012
Discretionary RAUM · $622M to $580M
Mar 15, 2012 to Aug 20, 2012
RAUM · $622M to $580M
Mar 15, 2012 to Aug 20, 2012

Signals

11 dated events

••• Locked
Aug 5, 2026 · ria principal change · fact
••• Locked
Aug 5, 2026 · Control person joined · fact
••• Locked
Aug 5, 2026 · Control person left · inference
••• Locked
Aug 5, 2026 · ria principal change · derived
••• Locked
Mar 26, 2026 · RAUM change · derived

Full timeline · 11 events

••• Locked
Mar 28, 2023 · Control person left · inference
••• Locked
Mar 30, 2022 · RAUM change · derived
••• Locked
Sep 14, 2021 · Control person joined · fact
••• Locked
Sep 14, 2021 · Control person left · inference
••• Locked
Mar 19, 2021 · RAUM change · derived
••• Locked
Mar 28, 2019 · RAUM change · derived

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, Aug 5, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 5, 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

Across the graphs

G••••• C••••• A•••••••• L•• is the same institution as 1 record in Private Credit.

Private Credit1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

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