DFX Intelligence

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F•••••••• C•••••• M••••••••• L••

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

Asset manager (funds and pooled vehicles), based in Harrison, New York, reporting $582M 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: $582M
Advisors: 0
RAUM change, 1 year: -24%
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

-23.8%
RAUM, one year
RAUM $764M to $582M (-23.8%) 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 158448 · SEC 801-72564 · 18 filingsShow

CRD 158448SEC 801-72564First filing on the tape Mar 30, 2012, latest Mar 30, 2026SEC status approved since Jul 21, 2011IAPD

RAUM

$582M

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

18 filings and snapshots on the tape

RAUM -15% a year over three years · the tape starts Mar 30, 2012

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

RAUM$582M as of Mar 30, 2026

Mar 30, 2012$949M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 30, 20120 then

Employees (5.A)8 as of Mar 30, 2026

Mar 20, 201311 then

Private funds2 as of Mar 30, 2026

Mar 30, 20124 then

RAUM -24% over the last fiscal year-15% 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: $194MderivedRAUM 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: -24%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

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)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$582M100%

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: RAUM: 0% private clients, 100% pooled funds, 0% 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

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

Fund	Type	Gross assets	Owners	First reported
L••• M•••••• L•	Hedge Fund	$323M	5	Mar 28, 2018
F•••••••• P•••••••• L•	Hedge Fund	$238M	30	Mar 30, 2012
F•••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$60.9M	8	Mar 30, 2012
F•••••••• F•••• L•••no longer reported	Hedge Fund	$58.1M	7	Mar 30, 2012
F•••••••• S•• I•• L••no longer reported	Other Private Fund	$5.9M	2	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

D•••••• M••••••• G••••• · Managing Member/Presidentcontrol
since 08/2008 · owns 50% to 75%
H••••• D••••• L•• · Chief Financial Officer/Chief Compliance Officercontrol
since 08/2008 · owns less than 5%
R••••• J•••••• E••• · Membercontrol
since 02/2009 · owns 25% to 50%

Related persons

Schedule D 7.A

F•••••••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Jan 9, 2026 to Mar 30, 2026
Pooled vehicle clients · 4 to 3
Jan 9, 2026 to Mar 30, 2026
Employees · 9 to 8
Jan 9, 2026 to Mar 30, 2026
Private funds · 4 to 2
Jan 9, 2026 to Mar 30, 2026
Discretionary RAUM · $764M to $582M
Jan 9, 2026 to Mar 30, 2026

Full history · 71 changes

Pooled vehicle RAUM · $764M to $582M
Jan 9, 2026 to Mar 30, 2026
RAUM · $764M to $582M
Jan 9, 2026 to Mar 30, 2026
HQ city · RYE BROOK to HARRISON
Jun 9, 2025 to Jan 9, 2026
Financial planning clients · unset to
Mar 21, 2025 to Jun 9, 2025
Advisory employees · 6 to 5
Mar 27, 2024 to Mar 21, 2025
Employees · 10 to 9
Mar 27, 2024 to Mar 21, 2025
Discretionary RAUM · $949M to $764M
Mar 27, 2024 to Mar 21, 2025
Pooled vehicle RAUM · $949M to $764M
Mar 27, 2024 to Mar 21, 2025
RAUM · $949M to $764M
Mar 27, 2024 to Mar 21, 2025
Employees · 11 to 10
Mar 30, 2023 to Mar 27, 2024
Discretionary RAUM · $959M to $949M
Mar 30, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $959M to $949M
Mar 30, 2023 to Mar 27, 2024
RAUM · $959M to $949M
Mar 30, 2023 to Mar 27, 2024
Advisory employees · 5 to 6
Apr 29, 2022 to Mar 30, 2023
Employees · 10 to 11
Apr 29, 2022 to Mar 30, 2023
Discretionary RAUM · $960M to $959M
Apr 29, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $960M to $959M
Apr 29, 2022 to Mar 30, 2023
RAUM · $960M to $959M
Apr 29, 2022 to Mar 30, 2023
Advisory employees · 6 to 5
Mar 29, 2021 to Mar 28, 2022
Assets in custody · 54373893.0 to unset
Mar 29, 2021 to Mar 28, 2022
Custody of client assets · true to false
Mar 29, 2021 to Mar 28, 2022
Employees · 11 to 10
Mar 29, 2021 to Mar 28, 2022
Discretionary RAUM · $922M to $960M
Mar 29, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $922M to $960M
Mar 29, 2021 to Mar 28, 2022
RAUM · $922M to $960M
Mar 29, 2021 to Mar 28, 2022
Assets in custody · $68.4M to $54.4M
Mar 27, 2020 to Mar 29, 2021
Discretionary RAUM · $849M to $922M
Mar 27, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $849M to $922M
Mar 27, 2020 to Mar 29, 2021
RAUM · $849M to $922M
Mar 27, 2020 to Mar 29, 2021
Assets in custody · $82.4M to $68.4M
Mar 29, 2019 to Mar 27, 2020
Discretionary RAUM · $915M to $849M
Mar 29, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $915M to $849M
Mar 29, 2019 to Mar 27, 2020
RAUM · $915M to $849M
Mar 29, 2019 to Mar 27, 2020
Assets in custody · $59.1M to $82.4M
Mar 28, 2018 to Mar 29, 2019
Discretionary RAUM · $873M to $915M
Mar 28, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $873M to $915M
Mar 28, 2018 to Mar 29, 2019
RAUM · $873M to $915M
Mar 28, 2018 to Mar 29, 2019
Accounts · 3 to 4
Mar 21, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 4.0
Mar 21, 2017 to Mar 28, 2018
Assets in custody · $62.1M to $59.1M
Mar 21, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Mar 21, 2017 to Mar 28, 2018
Private funds · 3 to 4
Mar 21, 2017 to Mar 28, 2018
Discretionary RAUM · $522M to $873M
Mar 21, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 873129140.0
Mar 21, 2017 to Mar 28, 2018
RAUM · $522M to $873M
Mar 21, 2017 to Mar 28, 2018
Assets in custody · unset to 62081463.0
Mar 29, 2016 to Mar 21, 2017
Custody of client assets · false to true
Mar 29, 2016 to Mar 21, 2017
Employees · 10 to 11
Mar 29, 2016 to Mar 21, 2017
Discretionary RAUM · $782M to $522M
Mar 29, 2016 to Mar 21, 2017
RAUM · $782M to $522M
Mar 29, 2016 to Mar 21, 2017
Advisory employees · 9 to 6
Mar 30, 2015 to Mar 29, 2016
Employees · 13 to 10
Mar 30, 2015 to Mar 29, 2016
Discretionary RAUM · $1.2B to $782M
Mar 30, 2015 to Mar 29, 2016
RAUM · $1.2B to $782M
Mar 30, 2015 to Mar 29, 2016
Advisory employees · 7 to 9
Mar 28, 2014 to Mar 30, 2015
Employees · 11 to 13
Mar 28, 2014 to Mar 30, 2015
Discretionary RAUM · $1.2B to $1.2B
Mar 28, 2014 to Mar 30, 2015
RAUM · $1.2B to $1.2B
Mar 28, 2014 to Mar 30, 2015
Discretionary RAUM · $1.1B to $1.2B
Mar 20, 2013 to Mar 28, 2014
RAUM · $1.1B to $1.2B
Mar 20, 2013 to Mar 28, 2014
Accounts · 4 to 3
Mar 30, 2012 to Mar 20, 2013
Advisory employees · unset to 7.0
Mar 30, 2012 to Mar 20, 2013
Employees · unset to 11.0
Mar 30, 2012 to Mar 20, 2013
Private funds · 4 to 3
Mar 30, 2012 to Mar 20, 2013
Discretionary RAUM · $949M to $1.1B
Mar 30, 2012 to Mar 20, 2013
RAUM · $949M to $1.1B
Mar 30, 2012 to Mar 20, 2013

Signals

6 dated events

••• Locked
Mar 30, 2026 · private fund no longer reported · inference
••• Locked
Mar 30, 2026 · private fund no longer reported · inference
••• Locked
Mar 30, 2026 · ria ownership band change · fact
••• Locked
Mar 30, 2026 · Control person left · inference
••• Locked
Jan 9, 2026 · ria hq relocated · fact

Full timeline · 6 events

••• 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 30, 2026
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.