DFX Intelligence

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C••••• C•••• P••••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $3.1B 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: $3.1B
Advisors: 0
RAUM change, 1 year: -32%
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

-31.6%
RAUM, one year
RAUM $4.52B to $3.09B (-31.6%) 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 157746 · SEC 801-73874 · 15 filingsShow

CRD 157746SEC 801-73874First filing on the tape Feb 14, 2012, latest Mar 30, 2026SEC status approved since Mar 22, 2012IAPD

RAUM

$3.1B

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

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM +33% a year over three years · the tape starts Feb 14, 2012

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

RAUM$3.1B as of Mar 30, 2026

Mar 28, 2013$130M 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)11 as of Mar 30, 2026

Mar 28, 20134 then

Private funds2 as of Mar 30, 2026

Mar 28, 20132 then

RAUM -32% over the last fiscal year+33% 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: $441MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 16%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: -32%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $1.7B, 3 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)
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)
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

80% pooled investment vehicles, 16% state and municipal entities, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Pooled investment vehicles$2.5B80%
State and municipal entities$490M16%
Corporations and businesses$135M4.4%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 7reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.7B for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 80% pooled funds, 16% 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

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

Fund	Type	Gross assets	Owners	First reported
C••••• C•••• P••••••• ••••••• L•••	Hedge Fund	$1.7B	311	Feb 14, 2012
C••••• C•••• P••••••• N•••• A•••••• L••• S•••• E••••• U•••• F•••	Hedge Fund	$806M	34	Mar 25, 2019
C••••• C•••• P••••••• L••no longer reported	Hedge Fund	$159M	31	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

M•••••••• J•••• T••••• · Chief Financial Officer/Chief Compliance Officercontrol
since 09/2008 · owns less than 5%
S•••••••• E••••• S••••••• · Membercontrol
since 06/2008 · owns 10% to 25%
S•••••••• R•••••• •••• · Managing Member/Founder/Portfolio Manager/Chief Executive Officercontrol
since 06/2008 · owns 75% or more

Related persons

Schedule D 7.A

C••••• C•••• P••••••• L•••
bankpooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Mar 30, 2026
RAUM (Item 5.F) moved from $4,516,741,273 to $3,089,075,217 (-32.0%) between the annual amendments of 2025-03-12 and 2026-03-30; the peer median change was +11.0% (1364 comparable advisers, 3.0th percentile of changes)
peers: asset managers, $1B to $5B (1,364) · 2.6% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $2.1B to $1.7B
Mar 12, 2025 to Mar 30, 2026
Discretionary RAUM · $4.5B to $3.1B
Mar 12, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $3.8B to $2.5B
Mar 12, 2025 to Mar 30, 2026
RAUM · $4.5B to $3.1B
Mar 12, 2025 to Mar 30, 2026
Advisory employees · 5 to 8
Mar 26, 2024 to Mar 12, 2025

Full history · 80 changes

Assets in custody · $955M to $2.1B
Mar 26, 2024 to Mar 12, 2025
Employees · 9 to 11
Mar 26, 2024 to Mar 12, 2025
Financial planning clients · unset to
Mar 26, 2024 to Mar 12, 2025
Discretionary RAUM · $2.5B to $4.5B
Mar 26, 2024 to Mar 12, 2025
Pooled vehicle RAUM · $1.9B to $3.8B
Mar 26, 2024 to Mar 12, 2025
RAUM · $2.5B to $4.5B
Mar 26, 2024 to Mar 12, 2025
Accounts · 5 to 7
Mar 23, 2023 to Mar 26, 2024
Corporate clients · unset to 2.0
Mar 23, 2023 to Mar 26, 2024
Assets in custody · $818M to $955M
Mar 23, 2023 to Mar 26, 2024
Employees · 8 to 9
Mar 23, 2023 to Mar 26, 2024
Discretionary RAUM · $1.3B to $2.5B
Mar 23, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $818M to $1.9B
Mar 23, 2023 to Mar 26, 2024
RAUM · $1.3B to $2.5B
Mar 23, 2023 to Mar 26, 2024
Advisory employees · 4 to 5
Mar 22, 2022 to Mar 23, 2023
Advisory activities · 1 to 2
Mar 22, 2022 to Mar 23, 2023
Assets in custody · $489M to $818M
Mar 22, 2022 to Mar 23, 2023
Employees · 7 to 8
Mar 22, 2022 to Mar 23, 2023
Discretionary RAUM · $1.0B to $1.3B
Mar 22, 2022 to Mar 23, 2023
Pooled vehicle RAUM · $489M to $818M
Mar 22, 2022 to Mar 23, 2023
RAUM · $1.0B to $1.3B
Mar 22, 2022 to Mar 23, 2023
Accounts · 4 to 5
Mar 23, 2021 to Mar 22, 2022
Assets in custody · $490M to $489M
Mar 23, 2021 to Mar 22, 2022
Employees · 6 to 7
Mar 23, 2021 to Mar 22, 2022
Discretionary RAUM · $490M to $1.0B
Mar 23, 2021 to Mar 22, 2022
Pooled vehicle RAUM · $490M to $489M
Mar 23, 2021 to Mar 22, 2022
RAUM · $490M to $1.0B
Mar 23, 2021 to Mar 22, 2022
Assets in custody · $431M to $490M
Mar 18, 2020 to Mar 23, 2021
Discretionary RAUM · $431M to $490M
Mar 18, 2020 to Mar 23, 2021
Pooled vehicle RAUM · $431M to $490M
Mar 18, 2020 to Mar 23, 2021
RAUM · $431M to $490M
Mar 18, 2020 to Mar 23, 2021
Accounts · 6 to 4
Mar 25, 2019 to Mar 18, 2020
Advisory employees · 3 to 4
Mar 25, 2019 to Mar 18, 2020
Assets in custody · $352M to $431M
Mar 25, 2019 to Mar 18, 2020
Employees · 5 to 6
Mar 25, 2019 to Mar 18, 2020
Discretionary RAUM · $352M to $431M
Mar 25, 2019 to Mar 18, 2020
Pooled vehicle RAUM · $352M to $431M
Mar 25, 2019 to Mar 18, 2020
RAUM · $352M to $431M
Mar 25, 2019 to Mar 18, 2020
Accounts · 3 to 6
Mar 27, 2018 to Mar 25, 2019
Pooled vehicle clients · 3 to 4
Mar 27, 2018 to Mar 25, 2019
Assets in custody · $160M to $352M
Mar 27, 2018 to Mar 25, 2019
Private funds · 1 to 2
Mar 27, 2018 to Mar 25, 2019
Discretionary RAUM · $323M to $352M
Mar 27, 2018 to Mar 25, 2019
Pooled vehicle RAUM · $323M to $352M
Mar 27, 2018 to Mar 25, 2019
RAUM · $323M to $352M
Mar 27, 2018 to Mar 25, 2019
Pooled vehicle clients · unset to 3.0
Mar 28, 2017 to Mar 27, 2018
Assets in custody · $152M to $160M
Mar 28, 2017 to Mar 27, 2018
Other offices · unset to 0.0
Mar 28, 2017 to Mar 27, 2018
Discretionary RAUM · $339M to $323M
Mar 28, 2017 to Mar 27, 2018
Pooled vehicle RAUM · unset to 323480603.0
Mar 28, 2017 to Mar 27, 2018
RAUM · $339M to $323M
Mar 28, 2017 to Mar 27, 2018
Assets in custody · $13.0M to $152M
Mar 25, 2016 to Mar 28, 2017
Discretionary RAUM · $164M to $339M
Mar 25, 2016 to Mar 28, 2017
RAUM · $164M to $339M
Mar 25, 2016 to Mar 28, 2017
Assets in custody · $10.3M to $13.0M
Mar 18, 2015 to Mar 25, 2016
Discretionary RAUM · $165M to $164M
Mar 18, 2015 to Mar 25, 2016
RAUM · $165M to $164M
Mar 18, 2015 to Mar 25, 2016
Advisory employees · 4 to 3
Mar 24, 2014 to Mar 18, 2015
Assets in custody · $7.7M to $10.3M
Mar 24, 2014 to Mar 18, 2015
Employees · 4 to 5
Mar 24, 2014 to Mar 18, 2015
Private funds · 2 to 1
Mar 24, 2014 to Mar 18, 2015
Discretionary RAUM · $166M to $165M
Mar 24, 2014 to Mar 18, 2015
RAUM · $166M to $165M
Mar 24, 2014 to Mar 18, 2015
Advisory employees · 3 to 4
Mar 28, 2013 to Mar 24, 2014
Assets in custody · $19.0M to $7.7M
Mar 28, 2013 to Mar 24, 2014
Discretionary RAUM · $130M to $166M
Mar 28, 2013 to Mar 24, 2014
RAUM · $130M to $166M
Mar 28, 2013 to Mar 24, 2014
Accounts · 4 to 3
Feb 14, 2012 to Mar 28, 2013
Advisory employees · unset to 3.0
Feb 14, 2012 to Mar 28, 2013
Advisory activities · 2 to 1
Feb 14, 2012 to Mar 28, 2013
BD registered reps · unset to 0.0
Feb 14, 2012 to Mar 28, 2013
Assets in custody · $56.2M to $19.0M
Feb 14, 2012 to Mar 28, 2013
Employees · unset to 4.0
Feb 14, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Feb 14, 2012 to Mar 28, 2013
Discretionary RAUM · $176M to $130M
Feb 14, 2012 to Mar 28, 2013
RAUM · $176M to $130M
Feb 14, 2012 to Mar 28, 2013

Signals

6 dated events

••• Locked
Mar 30, 2026 · RAUM change · derived
••• Locked
Mar 30, 2026 · private fund gav change · fact
••• Locked
Mar 12, 2025 · RAUM change · derived
••• Locked
Mar 26, 2024 · RAUM change · derived
••• Locked
Mar 23, 2023 · RAUM change · derived

Full timeline · 6 events

••• Locked
Mar 22, 2022 · 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.