DFX Intelligence

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B•••• P•••• I••••••••• M••••••••• L••

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

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $453M of regulatory assets.

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

As of 2026-04-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $453M
Advisors: 0
RAUM change, 1 year: -8.6%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-04-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-8.6%
RAUM, one year
RAUM $496M to $453M (-8.6%) on the Form ADV filed 24 Apr 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 157572 · SEC 801-73627 · 27 filingsShow

CRD 157572SEC 801-73627First filing on the tape Feb 14, 2012, latest Apr 24, 2026SEC status approved since Mar 30, 2012IAPD

RAUM

$453M

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

27 filings and snapshots on the tape

RAUM -2.7% a year over three years · the tape starts Feb 14, 2012

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

RAUM$453M as of Apr 24, 2026

Mar 28, 2013$644M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 24, 2026

Mar 28, 20130 then

Employees (5.A)6 as of Apr 24, 2026

Mar 28, 20137 then

Private funds3 as of Apr 24, 2026

Mar 28, 20132 then

RAUM -8.6% over the last fiscal year-2.7% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 24, 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: $113MderivedRAUM 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: -8.6%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
Custody: $453M, 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$453M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $453M 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
B•••• P•••• F••• L••	Hedge Fund	$304M	47	Feb 14, 2012
B•••• P•••• M••••• F••• I••••••••• L•••	Hedge Fund	$104M	27	Feb 14, 2012
B•••• P•••• U•••• F••• L••	Hedge Fund	$45.3M	4	Mar 29, 2016

Owners and control persons

Schedule A and B, latest filing

B•••••••• J•••• J• · Chief Compliance Officer And Senior Vice Presidentcontrol
since 12/2002 · owns less than 5%
U•••••••• I•• · Sole Membercontrol
since 12/2002 · owns 75% or more

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 · $496M to $453M
Apr 23, 2025 to Mar 30, 2026
Discretionary RAUM · $496M to $453M
Apr 23, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $496M to $453M
Apr 23, 2025 to Mar 30, 2026
RAUM · $496M to $453M
Apr 23, 2025 to Mar 30, 2026
Assets in custody · $507M to $496M
Apr 17, 2024 to Apr 23, 2025

Full history · 69 changes

Financial planning clients · unset to
Apr 17, 2024 to Apr 23, 2025
Discretionary RAUM · $507M to $496M
Apr 17, 2024 to Apr 23, 2025
Pooled vehicle RAUM · $507M to $496M
Apr 17, 2024 to Apr 23, 2025
RAUM · $507M to $496M
Apr 17, 2024 to Apr 23, 2025
Assets in custody · $492M to $507M
Apr 26, 2023 to Mar 28, 2024
Discretionary RAUM · $492M to $507M
Apr 26, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $492M to $507M
Apr 26, 2023 to Mar 28, 2024
RAUM · $492M to $507M
Apr 26, 2023 to Mar 28, 2024
Assets in custody · $601M to $492M
May 24, 2022 to Mar 30, 2023
Discretionary RAUM · $601M to $492M
May 24, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $601M to $492M
May 24, 2022 to Mar 30, 2023
RAUM · $601M to $492M
May 24, 2022 to Mar 30, 2023
Assets in custody · $588M to $601M
May 5, 2021 to Mar 30, 2022
Discretionary RAUM · $588M to $601M
May 5, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $588M to $601M
May 5, 2021 to Mar 30, 2022
RAUM · $588M to $601M
May 5, 2021 to Mar 30, 2022
Assets in custody · $522M to $588M
Apr 30, 2020 to Mar 30, 2021
Discretionary RAUM · $522M to $588M
Apr 30, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $522M to $588M
Apr 30, 2020 to Mar 30, 2021
RAUM · $522M to $588M
Apr 30, 2020 to Mar 30, 2021
Assets in custody · $502M to $522M
Jun 19, 2019 to Mar 27, 2020
Discretionary RAUM · $502M to $522M
Jun 19, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $502M to $522M
Jun 19, 2019 to Mar 27, 2020
RAUM · $502M to $522M
Jun 19, 2019 to Mar 27, 2020
Assets in custody · $577M to $502M
Sep 18, 2018 to Mar 28, 2019
Discretionary RAUM · $577M to $502M
Sep 18, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $577M to $502M
Sep 18, 2018 to Mar 28, 2019
RAUM · $577M to $502M
Sep 18, 2018 to Mar 28, 2019
Accounts · 3 to 4
May 8, 2017 to Mar 29, 2018
Advisory employees · 6 to 5
May 8, 2017 to Mar 29, 2018
Charity clients · unset to 0.0
May 8, 2017 to Mar 29, 2018
Corporate clients · unset to 0.0
May 8, 2017 to Mar 29, 2018
HNW clients · unset to 0.0
May 8, 2017 to Mar 29, 2018
Individual clients · unset to 0.0
May 8, 2017 to Mar 29, 2018
Pension plan clients · unset to 0.0
May 8, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 4.0
May 8, 2017 to Mar 29, 2018
Assets in custody · $636M to $577M
May 8, 2017 to Mar 29, 2018
Other offices · unset to 0.0
May 8, 2017 to Mar 29, 2018
Discretionary RAUM · $636M to $577M
May 8, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 576951771.0
May 8, 2017 to Mar 29, 2018
RAUM · $636M to $577M
May 8, 2017 to Mar 29, 2018
Assets in custody · $393M to $636M
Apr 26, 2016 to Mar 30, 2017
Discretionary RAUM · $695M to $636M
Apr 26, 2016 to Mar 30, 2017
RAUM · $695M to $636M
Apr 26, 2016 to Mar 30, 2017
Accounts · 2 to 3
Aug 6, 2015 to Mar 29, 2016
Advisory employees · 7 to 6
Aug 6, 2015 to Mar 29, 2016
Assets in custody · $437M to $393M
Aug 6, 2015 to Mar 29, 2016
Employees · 7 to 6
Aug 6, 2015 to Mar 29, 2016
Private funds · 2 to 3
Aug 6, 2015 to Mar 29, 2016
Discretionary RAUM · $792M to $695M
Aug 6, 2015 to Mar 29, 2016
RAUM · $792M to $695M
Aug 6, 2015 to Mar 29, 2016
Assets in custody · $798M to $437M
Mar 27, 2014 to Mar 26, 2015
Discretionary RAUM · $798M to $792M
Mar 27, 2014 to Mar 26, 2015
RAUM · $798M to $792M
Mar 27, 2014 to Mar 26, 2015
Assets in custody · $644M to $798M
Mar 28, 2013 to Mar 27, 2014
Discretionary RAUM · $644M to $798M
Mar 28, 2013 to Mar 27, 2014
RAUM · $644M to $798M
Mar 28, 2013 to Mar 27, 2014
Advisory employees · unset to 7.0
Feb 14, 2012 to Mar 28, 2013
BD registered reps · unset to 0.0
Feb 14, 2012 to Mar 28, 2013
Assets in custody · $633M to $644M
Feb 14, 2012 to Mar 28, 2013
Employees · unset to 7.0
Feb 14, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Feb 14, 2012 to Mar 28, 2013
Discretionary RAUM · $633M to $644M
Feb 14, 2012 to Mar 28, 2013
RAUM · $633M to $644M
Feb 14, 2012 to Mar 28, 2013

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.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 24, 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.