DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

M••••• U••• I•••

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

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $694M of regulatory assets.

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

As of 2026-05-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $694M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +9.2%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-05-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 157833 · SEC 801-74113 · 35 filingsShow

CRD 157833SEC 801-74113First filing on the tape Feb 14, 2012, latest May 12, 2026SEC status approved since Mar 19, 2012IAPD

RAUM

$694M

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

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

35 filings and snapshots on the tape

RAUM$694M as of May 12, 2026

Mar 28, 2013$749M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 12, 2026

Mar 28, 20130 then

Employees (5.A)5 as of May 12, 2026

Mar 28, 20134 then

Private funds2 as of Sep 5, 2025

Mar 28, 20134 then

RAUM +9.2% over the last fiscal year+30% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 12, 2026; every figure names its basis

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: $231MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year: +9.2%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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$694M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
M••••• L•••• A••••••• C•••••••• D•••no longer reported	Hedge Fund	$1.1B	47	Mar 31, 2021
M••••• R•••••• A•••••••no longer reported	Hedge Fund	$182M	27	Feb 14, 2012
M••••• S•••• C•• L••••••••• F•••• D• I••••••••no longer reported	Hedge Fund	$152M	42	Feb 14, 2012
M••••• L•••• A••••••• E••••••• F••• ••••••••• L•	Hedge Fund	$60.0M	4	Mar 31, 2015
M••••• S•••• C•• L••••••••• F••••• F•••• D• I••••••••	Hedge Fund	$31.8M	19	Mar 31, 2021
M••••• A••••••• R••••• F••• L•••no longer reported	Hedge Fund	$0	0	Feb 14, 2012
M••••• L•••• A••••••• S•••• C••• F••• •••••••• L•••no longer reported	Hedge Fund	$0	0	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

C•••••••• M•••••• E•••••• · C•••• O•••••••• O•••••• O• T•• H•••••• C••••••control
since 01/2015 · owns less than 5%
O•••• A••••••••• R••• · Director-Secretary Of The Board/Ceocontrol
since 07/2011 · owns less than 5%
R•••••• J•••• L••• · Directorcontrol
since 07/2011 · owns less than 5%

Entity owners

M••••• I• S•• · Owner
direct · owns 75% or more
P••••• I••••••••• L••• · Owner
indirect · owns 75% or more of M••••• I• S•• · public reporting company

Related persons

Schedule D 7.A

M••••• I••••••••• I•••
investment adviserbankn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Sep 5, 2025 to Mar 31, 2026
Advisory employees · 2 to 3
Sep 5, 2025 to Mar 31, 2026
Pooled vehicle clients · 4 to 3
Sep 5, 2025 to Mar 31, 2026
Employees · 4 to 5
Sep 5, 2025 to Mar 31, 2026
Private funds · 2 to unset
Sep 5, 2025 to Mar 31, 2026
Discretionary RAUM · $636M to $694M
Sep 5, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $636M to $694M
Sep 5, 2025 to Mar 31, 2026
RAUM · $636M to $694M
Sep 5, 2025 to Mar 31, 2026
Financial planning clients · unset to
May 23, 2025 to Jul 9, 2025
Discretionary RAUM · $528M to $636M
May 2, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $528M to $636M
May 2, 2024 to Mar 28, 2025
RAUM · $528M to $636M
May 2, 2024 to Mar 28, 2025
Employees · 5 to 4
Mar 31, 2023 to Mar 18, 2024
Discretionary RAUM · $317M to $528M
Mar 31, 2023 to Mar 18, 2024
Pooled vehicle RAUM · $317M to $528M
Mar 31, 2023 to Mar 18, 2024
RAUM · $317M to $528M
Mar 31, 2023 to Mar 18, 2024
Accounts · 5 to 4
Jan 6, 2023 to Mar 31, 2023
Advisory activities · 2 to 1
Jan 6, 2023 to Mar 31, 2023
Pooled vehicle clients · 3 to 4
Jan 6, 2023 to Mar 31, 2023
Assets in custody · 1457589460.0 to unset
Jan 6, 2023 to Mar 31, 2023
Custody of client assets · true to false
Jan 6, 2023 to Mar 31, 2023
Employees · 9 to 5
Jan 6, 2023 to Mar 31, 2023
Private funds · 3 to 2
Jan 6, 2023 to Mar 31, 2023
Discretionary RAUM · $1.5B to $317M
Jan 6, 2023 to Mar 31, 2023
Pooled vehicle RAUM · $1.1B to $317M
Jan 6, 2023 to Mar 31, 2023
RAUM · $1.5B to $317M
Jan 6, 2023 to Mar 31, 2023
Assets in custody · $1.3B to $1.5B
May 28, 2021 to Mar 25, 2022
Employees · 6 to 9
May 28, 2021 to Mar 25, 2022
Discretionary RAUM · $1.6B to $1.5B
May 28, 2021 to Mar 25, 2022
Pooled vehicle RAUM · $1.3B to $1.1B
May 28, 2021 to Mar 25, 2022
RAUM · $1.6B to $1.5B
May 28, 2021 to Mar 25, 2022
Assets in custody · $1.5B to $1.3B
Mar 31, 2021 to May 28, 2021
Discretionary RAUM · $1.5B to $1.6B
Mar 31, 2021 to May 28, 2021
Pooled vehicle RAUM · $1.2B to $1.3B
Mar 31, 2021 to May 28, 2021
RAUM · $1.5B to $1.6B
Mar 31, 2021 to May 28, 2021
Accounts · 4 to 5
Mar 30, 2020 to Mar 31, 2021
Pooled vehicle clients · 2 to 3
Mar 30, 2020 to Mar 31, 2021
Assets in custody · $149M to $1.5B
Mar 30, 2020 to Mar 31, 2021
Private funds · 1 to 3
Mar 30, 2020 to Mar 31, 2021
Discretionary RAUM · $559M to $1.5B
Mar 30, 2020 to Mar 31, 2021

Signals

14 dated events

••• Locked
May 2, 2024 · Control person left · inference
••• Locked
Mar 18, 2024 · RAUM change · derived
••• Locked
Mar 31, 2023 · RAUM change · derived
••• Locked
Jan 6, 2023 · Control person left · inference
••• Locked
Jan 6, 2023 · Control person joined · fact
••• Locked
Mar 25, 2022 · Control person left · inference
••• Locked
Mar 31, 2021 · RAUM change · derived
••• Locked
Mar 30, 2020 · Control person left · inference
••• Locked
Apr 30, 2019 · RAUM change · derived
••• Locked
Apr 30, 2019 · Control person left · inference
••• Locked
Mar 27, 2019 · Control person left · inference
••• Locked
Mar 27, 2019 · Control person joined · fact
••• Locked
Mar 27, 2019 · RAUM change · derived
••• Locked
Mar 27, 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

Website: ••• Lockedreportedpublic record, Form ADV, May 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 12, 2026

Provenance

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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026