DFX Intelligence

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Asset manager (funds and pooled vehicles)SEC-registered3 private fundsUmbrella registration· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $486M of regulatory assets.

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

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $486M
Advisors: 0
RAUM change, 1 year: +16%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 26 Mar 2026, RAUM $418M to $486M (+16.1%) on the Form ADV filed 26 Mar 2026.

Every filed figure, and the identifiersCRD 157238 · SEC 801-73922 · 25 filingsShow

CRD 157238SEC 801-73922First filing on the tape Feb 14, 2012, latest Mar 26, 2026SEC status approved since Mar 30, 2012IAPD

RAUM

$486M

reported, Item 5.F

Discretionary

81%

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM -2.2% a year over three years · the tape starts Feb 14, 2012

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

RAUM$486M as of Mar 26, 2026

Apr 1, 2013$513M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Apr 1, 20130 then

Employees (5.A)7 as of Mar 26, 2026

Apr 1, 20136 then

Private funds3 as of Mar 26, 2026

Apr 1, 20133 then

RAUM +16% over the last fiscal year-2.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $97.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 81%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: +16%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: $394M, 4 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)

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$486M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $394M for 4 clientsreported
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

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

Fund	Type	Gross assets	Owners	First reported
A•••• C•••••• P•••••••• L•••	Hedge Fund	$153M	54	Feb 14, 2012
A•••• Q••••••••• L•••	Hedge Fund	$137M	14	Feb 14, 2012
A•••• C•••••• O••••••• M•••••• L•••	Hedge Fund	$104M	37	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

E•••••• R•••••• W••••• · Principalcontrol
since 02/2011 · owns less than 5%
N••••••• E••• · Chief Compliance Officer, Chief Financial Officer And Member Of Registrantcontrol
since 02/2011 · owns less than 5%
P••••••• D•• · Managercontrol
since 05/1998 · owns 50% to 75%
Z•••••• B••••• V••••••••• · Member Of Registrantcontrol
since 05/1998 · owns 10% to 25%
Z•••••• B••••• V••••••••• · Ownercontrol
since 10/2015 · owns 75% or more of T••••• H••••••• S•

All 6 control persons

F•••••••• J••••• V••••••••• · Member Of Registrant
since 01/2012 · owns 10% to 25%

Entity owners

T••••• H••••••• S• · Member Of Registrant
direct · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $352M to $394M
Mar 27, 2025 to Mar 26, 2026
Discretionary RAUM · $352M to $394M
Mar 27, 2025 to Mar 26, 2026
Non-discretionary RAUM · $66.5M to $91.4M
Mar 27, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $418M to $486M
Mar 27, 2025 to Mar 26, 2026
RAUM · $418M to $486M
Mar 27, 2025 to Mar 26, 2026

Full history · 77 changes

Assets in custody · $408M to $352M
Mar 20, 2024 to Mar 27, 2025
Financial planning clients · 0 to 0
Mar 20, 2024 to Mar 27, 2025
Discretionary RAUM · $408M to $352M
Mar 20, 2024 to Mar 27, 2025
Non-discretionary RAUM · $67.3M to $66.5M
Mar 20, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $475M to $418M
Mar 20, 2024 to Mar 27, 2025
RAUM · $475M to $418M
Mar 20, 2024 to Mar 27, 2025
Accounts · 4 to 5
Nov 7, 2023 to Mar 20, 2024
Pooled vehicle clients · 4 to 5
Nov 7, 2023 to Mar 20, 2024
Assets in custody · $519M to $408M
Nov 7, 2023 to Mar 20, 2024
Discretionary RAUM · $519M to $408M
Nov 7, 2023 to Mar 20, 2024
Non-discretionary RAUM · $0 to $67.3M
Nov 7, 2023 to Mar 20, 2024
Pooled vehicle RAUM · $519M to $475M
Nov 7, 2023 to Mar 20, 2024
RAUM · $519M to $475M
Nov 7, 2023 to Mar 20, 2024
Assets in custody · $758M to $519M
Mar 26, 2022 to Mar 27, 2023
Discretionary RAUM · $758M to $519M
Mar 26, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $758M to $519M
Mar 26, 2022 to Mar 27, 2023
RAUM · $758M to $519M
Mar 26, 2022 to Mar 27, 2023
Assets in custody · $806M to $758M
Mar 30, 2021 to Mar 26, 2022
Discretionary RAUM · $806M to $758M
Mar 30, 2021 to Mar 26, 2022
Pooled vehicle RAUM · $806M to $758M
Mar 30, 2021 to Mar 26, 2022
RAUM · $806M to $758M
Mar 30, 2021 to Mar 26, 2022
Assets in custody · $780M to $806M
Nov 11, 2020 to Mar 30, 2021
Discretionary RAUM · $780M to $806M
Nov 11, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $780M to $806M
Nov 11, 2020 to Mar 30, 2021
RAUM · $780M to $806M
Nov 11, 2020 to Mar 30, 2021
Assets in custody · $697M to $780M
Mar 28, 2019 to Mar 30, 2020
Discretionary RAUM · $697M to $780M
Mar 28, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $697M to $780M
Mar 28, 2019 to Mar 30, 2020
RAUM · $697M to $780M
Mar 28, 2019 to Mar 30, 2020
Assets in custody · $850M to $697M
May 11, 2018 to Mar 28, 2019
Discretionary RAUM · $850M to $697M
May 11, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $850M to $697M
May 11, 2018 to Mar 28, 2019
RAUM · $850M to $697M
May 11, 2018 to Mar 28, 2019
Related bank · true to false
Mar 29, 2017 to Mar 26, 2018
Pooled vehicle clients · unset to 4.0
Mar 29, 2017 to Mar 26, 2018
Assets in custody · $698M to $850M
Mar 29, 2017 to Mar 26, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
Discretionary RAUM · $698M to $850M
Mar 29, 2017 to Mar 26, 2018
Pooled vehicle RAUM · unset to 850231036.0
Mar 29, 2017 to Mar 26, 2018
RAUM · $698M to $850M
Mar 29, 2017 to Mar 26, 2018
Related adviser · true to false
Mar 29, 2017 to Mar 26, 2018
Assets in custody · $668M to $698M
Mar 30, 2016 to Mar 29, 2017
Discretionary RAUM · $668M to $698M
Mar 30, 2016 to Mar 29, 2017
RAUM · $668M to $698M
Mar 30, 2016 to Mar 29, 2017
Advisory employees · 2 to 3
Nov 10, 2015 to Mar 30, 2016
Assets in custody · $626M to $668M
Nov 10, 2015 to Mar 30, 2016
Employees · 5 to 7
Nov 10, 2015 to Mar 30, 2016
Discretionary RAUM · $626M to $668M
Nov 10, 2015 to Mar 30, 2016
RAUM · $626M to $668M
Nov 10, 2015 to Mar 30, 2016
Advisory employees · 3 to 2
Mar 31, 2015 to Nov 10, 2015
Assets in custody · $532M to $626M
Mar 31, 2015 to Nov 10, 2015
Employees · 6 to 5
Mar 31, 2015 to Nov 10, 2015
Discretionary RAUM · $532M to $626M
Mar 31, 2015 to Nov 10, 2015
RAUM · $532M to $626M
Mar 31, 2015 to Nov 10, 2015
Related bank · false to true
Mar 31, 2015 to Nov 10, 2015
Assets in custody · $527M to $532M
Dec 10, 2014 to Mar 31, 2015
Discretionary RAUM · $527M to $532M
Dec 10, 2014 to Mar 31, 2015
RAUM · $527M to $532M
Dec 10, 2014 to Mar 31, 2015
Assets in custody · $513M to $527M
Feb 7, 2014 to Mar 31, 2014
Discretionary RAUM · $513M to $527M
Feb 7, 2014 to Mar 31, 2014
RAUM · $513M to $527M
Feb 7, 2014 to Mar 31, 2014
Assets in custody · $482M to $513M
Jan 8, 2013 to Apr 1, 2013
Employees · 5 to 6
Jan 8, 2013 to Apr 1, 2013
Discretionary RAUM · $482M to $513M
Jan 8, 2013 to Apr 1, 2013
RAUM · $482M to $513M
Jan 8, 2013 to Apr 1, 2013
Advisory employees · unset to 3.0
Oct 5, 2012 to Jan 8, 2013
BD registered reps · unset to 0.0
Oct 5, 2012 to Jan 8, 2013
Employees · unset to 5.0
Oct 5, 2012 to Jan 8, 2013
State-registered IARs · unset to 0.0
Oct 5, 2012 to Jan 8, 2013
Assets in custody · $447M to $482M
Feb 14, 2012 to May 2, 2012
Discretionary RAUM · $447M to $482M
Feb 14, 2012 to May 2, 2012
RAUM · $447M to $482M
Feb 14, 2012 to May 2, 2012

Signals

2 dated events

••• Locked
Mar 26, 2026 · ria ownership band change · fact
••• Locked
Mar 27, 2023 · 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, Mar 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 26, 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.