DFX Intelligence

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6•• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $2.4B of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $2.4B
Advisors: 0
RAUM change, 1 year: +9.6%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+9.6%
RAUM, one year
RAUM $2.22B to $2.44B (+9.6%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 156181 · SEC 801-73162 · 19 filingsShow

CRD 156181SEC 801-73162First filing on the tape Feb 6, 2012, latest Mar 30, 2026SEC status approved since Feb 9, 2012IAPD

RAUM

$2.4B

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

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Feb 6, 2012

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

RAUM$2.4B as of Mar 30, 2026

Mar 28, 2013$406M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 28, 20130 then

Employees (5.A)10 as of Mar 30, 2026

Mar 28, 20135 then

Private funds1 as of Mar 30, 2026

Mar 28, 20131 then

RAUM +9.6% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $1.2BderivedRAUM 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: +9.6%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 assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 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)
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)
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$2.4B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
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; 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
6•• C•••••• P•••••••• L•	Hedge Fund	$2.4B	100	Feb 6, 2012
6•• M••••• F••• L•	Hedge Fund	$6.1M	1	Mar 26, 2021

Owners and control persons

Schedule A and B, latest filing

L••• M••• K••••••••• N•• · Chief Operating Officer / Chief Compliance Officercontrol
since 04/2014 · owns less than 5%
P•••• J•••••• S• · Partnercontrol
since 11/2011 · owns 25% to 50%
R••••••••• M•••• C•••• · Chief Financial Officercontrol
since 12/2022 · owns less than 5%
Z••••••• A••• J••••••• · Managing Membercontrol
since 05/2006 · owns 50% to 75%

Related persons

Schedule D 7.A

6•• C•••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $2.2B to $2.4B
Mar 28, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $2.2B to $2.4B
Mar 28, 2025 to Mar 30, 2026
RAUM · $2.2B to $2.4B
Mar 28, 2025 to Mar 30, 2026
Financial planning clients · unset to
Mar 6, 2024 to Mar 28, 2025
Discretionary RAUM · $2.0B to $2.2B
Mar 6, 2024 to Mar 28, 2025

Full history · 59 changes

Pooled vehicle RAUM · $2.0B to $2.2B
Mar 6, 2024 to Mar 28, 2025
RAUM · $2.0B to $2.2B
Mar 6, 2024 to Mar 28, 2025
Accounts · 3 to 2
Mar 29, 2023 to Mar 6, 2024
Pooled vehicle clients · 3 to 2
Mar 29, 2023 to Mar 6, 2024
Assets in custody · 0.0 to unset
Mar 29, 2023 to Mar 6, 2024
Private funds · 2 to 1
Mar 29, 2023 to Mar 6, 2024
Discretionary RAUM · $1.8B to $2.0B
Mar 29, 2023 to Mar 6, 2024
Pooled vehicle RAUM · $1.8B to $2.0B
Mar 29, 2023 to Mar 6, 2024
RAUM · $1.8B to $2.0B
Mar 29, 2023 to Mar 6, 2024
Discretionary RAUM · $2.9B to $1.8B
Oct 7, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $2.9B to $1.8B
Oct 7, 2022 to Mar 29, 2023
RAUM · $2.9B to $1.8B
Oct 7, 2022 to Mar 29, 2023
Advisory employees · 4 to 5
Mar 26, 2021 to Mar 23, 2022
Employees · 9 to 10
Mar 26, 2021 to Mar 23, 2022
Discretionary RAUM · $2.5B to $2.9B
Mar 26, 2021 to Mar 23, 2022
Pooled vehicle RAUM · $2.5B to $2.9B
Mar 26, 2021 to Mar 23, 2022
RAUM · $2.5B to $2.9B
Mar 26, 2021 to Mar 23, 2022
Accounts · 2 to 3
Mar 29, 2020 to Mar 26, 2021
Pooled vehicle clients · 2 to 3
Mar 29, 2020 to Mar 26, 2021
Private funds · 1 to 2
Mar 29, 2020 to Mar 26, 2021
Discretionary RAUM · $1.3B to $2.5B
Mar 29, 2020 to Mar 26, 2021
Pooled vehicle RAUM · $1.3B to $2.5B
Mar 29, 2020 to Mar 26, 2021
RAUM · $1.3B to $2.5B
Mar 29, 2020 to Mar 26, 2021
Discretionary RAUM · $1.3B to $1.3B
Mar 28, 2019 to Mar 29, 2020
Pooled vehicle RAUM · $1.3B to $1.3B
Mar 28, 2019 to Mar 29, 2020
RAUM · $1.3B to $1.3B
Mar 28, 2019 to Mar 29, 2020
Employees · 7 to 9
Mar 29, 2018 to Mar 28, 2019
Discretionary RAUM · $1.2B to $1.3B
Mar 29, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $1.2B to $1.3B
Mar 29, 2018 to Mar 28, 2019
RAUM · $1.2B to $1.3B
Mar 29, 2018 to Mar 28, 2019
Accounts · 1 to 2
Mar 29, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 2.0
Mar 29, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 29, 2018
Discretionary RAUM · $854M to $1.2B
Mar 29, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 1151000000.0
Mar 29, 2017 to Mar 29, 2018
RAUM · $854M to $1.2B
Mar 29, 2017 to Mar 29, 2018
Assets in custody · unset to 0.0
Mar 30, 2016 to Mar 29, 2017
Discretionary RAUM · $811M to $854M
Mar 30, 2016 to Mar 29, 2017
RAUM · $811M to $854M
Mar 30, 2016 to Mar 29, 2017
Advisory employees · 3 to 4
Mar 27, 2015 to Mar 30, 2016
Employees · 6 to 7
Mar 27, 2015 to Mar 30, 2016
Discretionary RAUM · $598M to $811M
Mar 27, 2015 to Mar 30, 2016
RAUM · $598M to $811M
Mar 27, 2015 to Mar 30, 2016
Employees · 5 to 6
Mar 25, 2014 to Mar 27, 2015
Discretionary RAUM · $566M to $598M
Mar 25, 2014 to Mar 27, 2015
RAUM · $566M to $598M
Mar 25, 2014 to Mar 27, 2015
Discretionary RAUM · $406M to $566M
Oct 23, 2013 to Mar 25, 2014
RAUM · $406M to $566M
Oct 23, 2013 to Mar 25, 2014
Advisory employees · unset to 3.0
Feb 7, 2012 to Mar 28, 2013
BD registered reps · unset to 0.0
Feb 7, 2012 to Mar 28, 2013
Employees · unset to 5.0
Feb 7, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Feb 7, 2012 to Mar 28, 2013
Discretionary RAUM · $183M to $406M
Feb 7, 2012 to Mar 28, 2013
RAUM · $183M to $406M
Feb 7, 2012 to Mar 28, 2013

Signals

5 dated events

••• Locked
Mar 6, 2024 · Control person joined · fact
••• Locked
Mar 29, 2023 · RAUM change · derived
••• Locked
Oct 7, 2022 · Control person left · inference
••• Locked
Mar 26, 2021 · RAUM change · derived
••• Locked
Mar 29, 2018 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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.