DFX Intelligence

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T••• S••••••••• I•••

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

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $318M of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $318M
Advisors: 0
RAUM change, 1 year: +30%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

2 changes
ownership and control
1 control person joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+30.0%
RAUM, one year
RAUM $244M to $318M (+30.0%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 158318 · SEC 801-73786 · 26 filingsShow

CRD 158318SEC 801-73786First filing on the tape Feb 14, 2012, latest Mar 31, 2026SEC status approved since Mar 30, 2012IAPD

RAUM

$318M

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

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM +19% a year over three years · the tape starts Feb 14, 2012

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

RAUM$318M as of Mar 31, 2026

Mar 26, 2013$386M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 26, 20130 then

Employees (5.A)5 as of Mar 31, 2026

Mar 26, 20138 then

Private funds2 as of Mar 31, 2026

Mar 26, 20131 then

RAUM +30% over the last fiscal year+19% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: $63.5MderivedRAUM 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: +30%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
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

82% pooled investment vehicles, 18% other investment advisers

The breakdown by client type, and the client counts2 client typesShow

Pooled investment vehicles$260M82%
Other investment advisers$58.2M18%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
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

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

Fund	Type	Gross assets	Owners	First reported
T••• M••••• F•••• L•••	Hedge Fund	$187M	18	Feb 14, 2012
T••• S••••••••• L•••no longer reported	Hedge Fund	$123M	34	Feb 14, 2012
T••• O••••••••• F•••• L•	Hedge Fund	$72.5M	0	Mar 30, 2015

Owners and control persons

Schedule A and B, latest filing

S••••• D••••• J••• · President, Chief Investment Officercontrol
since 01/1988 · owns 75% or more
T••••••••• D•••• · Chief Financial Officer And Chief Compliance Officercontrol
since 12/2018 · owns less than 5%

Related persons

Schedule D 7.A

T••• C•••••• M••••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $271M to $318M
May 9, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $236M to $260M
May 9, 2025 to Mar 31, 2026
RAUM · $271M to $318M
May 9, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 30, 2025 to May 9, 2025
Discretionary RAUM · $244M to $271M
Mar 30, 2025 to May 9, 2025

Full history · 72 changes

Pooled vehicle RAUM · $209M to $236M
Mar 30, 2025 to May 9, 2025
RAUM · $244M to $271M
Mar 30, 2025 to May 9, 2025
Discretionary RAUM · $224M to $244M
Mar 29, 2024 to Mar 30, 2025
Pooled vehicle RAUM · $202M to $209M
Mar 29, 2024 to Mar 30, 2025
RAUM · $224M to $244M
Mar 29, 2024 to Mar 30, 2025
Discretionary RAUM · $187M to $224M
Mar 31, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $165M to $202M
Mar 31, 2023 to Mar 29, 2024
RAUM · $187M to $224M
Mar 31, 2023 to Mar 29, 2024
Accounts · 7 to 5
Jan 18, 2023 to Mar 31, 2023
Discretionary RAUM · $333M to $187M
Jan 18, 2023 to Mar 31, 2023
Pooled vehicle RAUM · $267M to $165M
Jan 18, 2023 to Mar 31, 2023
RAUM · $333M to $187M
Jan 18, 2023 to Mar 31, 2023
Discretionary RAUM · $171M to $333M
Mar 31, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $147M to $267M
Mar 31, 2021 to Mar 31, 2022
RAUM · $171M to $333M
Mar 31, 2021 to Mar 31, 2022
Accounts · 8 to 7
Mar 26, 2020 to Mar 31, 2021
Advisory employees · 5 to 4
Mar 26, 2020 to Mar 31, 2021
Employees · 6 to 5
Mar 26, 2020 to Mar 31, 2021
Discretionary RAUM · $198M to $171M
Mar 26, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $151M to $147M
Mar 26, 2020 to Mar 31, 2021
RAUM · $198M to $171M
Mar 26, 2020 to Mar 31, 2021
Accounts · 9 to 8
Mar 29, 2019 to Mar 26, 2020
Advisory employees · 6 to 5
Mar 29, 2019 to Mar 26, 2020
Employees · 7 to 6
Mar 29, 2019 to Mar 26, 2020
Discretionary RAUM · $284M to $198M
Mar 29, 2019 to Mar 26, 2020
Pooled vehicle RAUM · $162M to $151M
Mar 29, 2019 to Mar 26, 2020
RAUM · $284M to $198M
Mar 29, 2019 to Mar 26, 2020
Advisory employees · 7 to 6
Jan 31, 2019 to Mar 29, 2019
Employees · 9 to 7
Jan 31, 2019 to Mar 29, 2019
Discretionary RAUM · $632M to $284M
Jan 31, 2019 to Mar 29, 2019
Pooled vehicle RAUM · $385M to $162M
Jan 31, 2019 to Mar 29, 2019
RAUM · $632M to $284M
Jan 31, 2019 to Mar 29, 2019
Employees · 10 to 9
May 7, 2018 to Jan 31, 2019
Accounts · 10 to 9
Mar 30, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 4.0
Mar 30, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 28, 2018
Discretionary RAUM · $860M to $632M
Mar 30, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 385050249.0
Mar 30, 2017 to Mar 28, 2018
RAUM · $860M to $632M
Mar 30, 2017 to Mar 28, 2018
Accounts · 9 to 10
Mar 30, 2016 to Mar 30, 2017
Discretionary RAUM · $811M to $860M
Mar 30, 2016 to Mar 30, 2017
RAUM · $811M to $860M
Mar 30, 2016 to Mar 30, 2017
Accounts · 8 to 9
Jul 16, 2015 to Mar 30, 2016
Advisory employees · 6 to 7
Jul 16, 2015 to Mar 30, 2016
Discretionary RAUM · $1.0B to $811M
Jul 16, 2015 to Mar 30, 2016
RAUM · $1.0B to $811M
Jul 16, 2015 to Mar 30, 2016
Accounts · 7 to 8
Feb 12, 2015 to Mar 30, 2015
Advisory employees · 10 to 6
Feb 12, 2015 to Mar 30, 2015
Private funds · 1 to 2
Feb 12, 2015 to Mar 30, 2015
Discretionary RAUM · $753M to $1.0B
Feb 12, 2015 to Mar 30, 2015
RAUM · $753M to $1.0B
Feb 12, 2015 to Mar 30, 2015
Accounts · 5 to 7
Mar 26, 2013 to Mar 31, 2014
Advisory employees · 8 to 10
Mar 26, 2013 to Mar 31, 2014
Employees · 8 to 10
Mar 26, 2013 to Mar 31, 2014
Discretionary RAUM · $386M to $753M
Mar 26, 2013 to Mar 31, 2014
RAUM · $386M to $753M
Mar 26, 2013 to Mar 31, 2014
Advisory employees · 7 to 8
Nov 14, 2012 to Mar 26, 2013
Employees · 7 to 8
Nov 14, 2012 to Mar 26, 2013
Discretionary RAUM · $320M to $386M
Nov 14, 2012 to Mar 26, 2013
RAUM · $320M to $386M
Nov 14, 2012 to Mar 26, 2013
Advisory employees · unset to 7.0
Apr 26, 2012 to Nov 14, 2012
BD registered reps · unset to 0.0
Apr 26, 2012 to Nov 14, 2012
Employees · unset to 7.0
Apr 26, 2012 to Nov 14, 2012
State-registered IARs · unset to 0.0
Apr 26, 2012 to Nov 14, 2012
Private funds · 2 to 1
Apr 26, 2012 to Nov 14, 2012
Discretionary RAUM · $273M to $320M
Apr 26, 2012 to Nov 14, 2012
RAUM · $273M to $320M
Apr 26, 2012 to Nov 14, 2012

Signals

9 dated events

••• Locked
Mar 31, 2026 · Control person left · inference
••• Locked
Mar 31, 2026 · ria principal change · derived
••• Locked
Mar 31, 2026 · ria principal change · fact
••• Locked
Mar 31, 2026 · Control person joined · fact
••• Locked
Mar 31, 2023 · RAUM change · derived

Full timeline · 9 events

••• Locked
Mar 31, 2022 · RAUM change · derived
••• Locked
Mar 29, 2019 · RAUM change · derived
••• Locked
Jan 31, 2019 · Control person left · inference
••• Locked
Mar 28, 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, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 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.