DFX Intelligence

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N••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $332M of regulatory assets.

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

As of 2025-07-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $332M
Advisors: 0
RAUM change, 1 year: +5.5%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2025-07-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 21 Jul 2025, RAUM $315M to $332M (+5.5%) on the Form ADV filed 21 Jul 2025.

Every filed figure, and the identifiersCRD 159004 · SEC 801-73120 · 18 filingsShow

CRD 159004SEC 801-73120First filing on the tape Jan 31, 2012, latest Jul 21, 2025SEC status approved since Feb 10, 2012IAPD

RAUM

$332M

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

1 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 Jan 31, 2012

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

RAUM$332M as of Jul 21, 2025

Apr 1, 2013$1.1B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 21, 2025

Apr 1, 20130 then

Employees (5.A)1 as of Jul 21, 2025

Apr 1, 201310 then

Private funds1 as of Jul 21, 2025

Apr 1, 20131 then

RAUM +5.5% over the last fiscal year-15% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 21, 2025; 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: $166MderivedRAUM 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: +0.0%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: $327M, 2 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

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)

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$332M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $327M for 2 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

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

Fund	Type	Gross assets	Owners	First reported
N••••• C•••••• M••••• F•••• L•••	Hedge Fund	$332M	5	Jan 31, 2012
O• 5•• M••••• F•••• L•••no longer reported	Hedge Fund	$266M	31	Mar 31, 2015

Owners and control persons

Schedule A and B, latest filing

K•••••• M••••••• A••• · Cco, Limited Partnercontrol
since 04/2011 · owns 75% or more
K•••••• M••••••• A••• · Managing Membercontrol
since 04/2011 · owns 75% or more of N••••• A•••••••• L••

Entity owners

N••••• A•••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

N••••• C•••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · unset to
Apr 23, 2024 to Jul 21, 2025
Discretionary RAUM · $315M to $332M
Apr 23, 2024 to Jul 21, 2025
Pooled vehicle RAUM · $315M to $332M
Apr 23, 2024 to Jul 21, 2025
RAUM · $315M to $332M
Apr 23, 2024 to Jul 21, 2025
Employees · 2 to 1
Nov 7, 2022 to Mar 31, 2023

Full history · 80 changes

Discretionary RAUM · $327M to $315M
Nov 7, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $327M to $315M
Nov 7, 2022 to Mar 31, 2023
RAUM · $327M to $315M
Nov 7, 2022 to Mar 31, 2023
Accounts · 4 to 2
Mar 31, 2021 to Apr 1, 2022
Advisory employees · 3 to 1
Mar 31, 2021 to Apr 1, 2022
Pooled vehicle clients · 4 to 2
Mar 31, 2021 to Apr 1, 2022
Assets in custody · $394M to $327M
Mar 31, 2021 to Apr 1, 2022
Employees · 4 to 2
Mar 31, 2021 to Apr 1, 2022
Discretionary RAUM · $544M to $327M
Mar 31, 2021 to Apr 1, 2022
Pooled vehicle RAUM · $544M to $327M
Mar 31, 2021 to Apr 1, 2022
RAUM · $544M to $327M
Mar 31, 2021 to Apr 1, 2022
Accounts · 6 to 4
Apr 20, 2020 to Mar 31, 2021
Advisory employees · 8 to 3
Apr 20, 2020 to Mar 31, 2021
Pooled vehicle clients · 6 to 4
Apr 20, 2020 to Mar 31, 2021
Assets in custody · $1.1B to $394M
Apr 20, 2020 to Mar 31, 2021
Employees · 16 to 4
Apr 20, 2020 to Mar 31, 2021
Discretionary RAUM · $1.1B to $544M
Apr 20, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $1.1B to $544M
Apr 20, 2020 to Mar 31, 2021
RAUM · $1.1B to $544M
Apr 20, 2020 to Mar 31, 2021
Assets in custody · $619M to $1.1B
Mar 30, 2020 to Apr 20, 2020
Discretionary RAUM · $619M to $1.1B
Mar 30, 2020 to Apr 20, 2020
Pooled vehicle RAUM · $619M to $1.1B
Mar 30, 2020 to Apr 20, 2020
RAUM · $619M to $1.1B
Mar 30, 2020 to Apr 20, 2020
Accounts · 3 to 6
Mar 31, 2019 to Mar 30, 2020
Advisory employees · 11 to 8
Mar 31, 2019 to Mar 30, 2020
Pooled vehicle clients · 3 to 6
Mar 31, 2019 to Mar 30, 2020
Assets in custody · $2.9B to $619M
Mar 31, 2019 to Mar 30, 2020
Employees · 21 to 16
Mar 31, 2019 to Mar 30, 2020
Discretionary RAUM · $2.9B to $619M
Mar 31, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $2.9B to $619M
Mar 31, 2019 to Mar 30, 2020
RAUM · $2.9B to $619M
Mar 31, 2019 to Mar 30, 2020
Advisory employees · 9 to 11
Mar 29, 2018 to Mar 31, 2019
Assets in custody · $4.5B to $2.9B
Mar 29, 2018 to Mar 31, 2019
Employees · 16 to 21
Mar 29, 2018 to Mar 31, 2019
Discretionary RAUM · $4.5B to $2.9B
Mar 29, 2018 to Mar 31, 2019
Pooled vehicle RAUM · $4.5B to $2.9B
Mar 29, 2018 to Mar 31, 2019
RAUM · $4.5B to $2.9B
Mar 29, 2018 to Mar 31, 2019
Related bank · true to false
Mar 29, 2018 to Mar 31, 2019
Advisory employees · 10 to 9
Mar 30, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 3.0
Mar 30, 2017 to Mar 29, 2018
Assets in custody · $2.6B to $4.5B
Mar 30, 2017 to Mar 29, 2018
Employees · 17 to 16
Mar 30, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Discretionary RAUM · $2.7B to $4.5B
Mar 30, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 4489945000.0
Mar 30, 2017 to Mar 29, 2018
RAUM · $2.7B to $4.5B
Mar 30, 2017 to Mar 29, 2018
Accounts · 5 to 3
Mar 30, 2016 to Mar 30, 2017
Assets in custody · $2.5B to $2.6B
Mar 30, 2016 to Mar 30, 2017
Private funds · 2 to 1
Mar 30, 2016 to Mar 30, 2017
Discretionary RAUM · $2.8B to $2.7B
Mar 30, 2016 to Mar 30, 2017
RAUM · $2.8B to $2.7B
Mar 30, 2016 to Mar 30, 2017
Assets in custody · unset to 2497273581.0
Apr 22, 2015 to Mar 30, 2016
Custody of client assets · false to true
Apr 22, 2015 to Mar 30, 2016
Employees · 16 to 17
Apr 22, 2015 to Mar 30, 2016
Discretionary RAUM · $2.8B to $2.8B
Apr 22, 2015 to Mar 30, 2016
RAUM · $2.8B to $2.8B
Apr 22, 2015 to Mar 30, 2016
Accounts · 3 to 5
Mar 31, 2014 to Mar 31, 2015
Advisory employees · 7 to 10
Mar 31, 2014 to Mar 31, 2015
Employees · 12 to 16
Mar 31, 2014 to Mar 31, 2015
Private funds · 1 to 2
Mar 31, 2014 to Mar 31, 2015
Discretionary RAUM · $1.6B to $2.8B
Mar 31, 2014 to Mar 31, 2015
RAUM · $1.6B to $2.8B
Mar 31, 2014 to Mar 31, 2015
Accounts · 1 to 3
Apr 1, 2013 to Mar 31, 2014
Advisory employees · 6 to 7
Apr 1, 2013 to Mar 31, 2014
Assets in custody · 0.0 to unset
Apr 1, 2013 to Mar 31, 2014
Custody of client assets · true to false
Apr 1, 2013 to Mar 31, 2014
Employees · 10 to 12
Apr 1, 2013 to Mar 31, 2014
Discretionary RAUM · $1.1B to $1.6B
Apr 1, 2013 to Mar 31, 2014
RAUM · $1.1B to $1.6B
Apr 1, 2013 to Mar 31, 2014
Advisory employees · unset to 6.0
Apr 14, 2012 to Apr 1, 2013
BD registered reps · unset to 0.0
Apr 14, 2012 to Apr 1, 2013
Employees · unset to 10.0
Apr 14, 2012 to Apr 1, 2013
State-registered IARs · unset to 0.0
Apr 14, 2012 to Apr 1, 2013
Discretionary RAUM · $350M to $1.1B
Apr 14, 2012 to Apr 1, 2013
RAUM · $350M to $1.1B
Apr 14, 2012 to Apr 1, 2013

Signals

11 dated events

••• Locked
Apr 1, 2022 · RAUM change · derived
••• Locked
Apr 1, 2022 · Control person left · inference
••• Locked
Mar 31, 2021 · RAUM change · derived
••• Locked
Mar 31, 2021 · Control person left · inference
••• Locked
Apr 20, 2020 · Control person joined · fact

Full timeline · 11 events

••• Locked
Apr 20, 2020 · RAUM change · derived
••• Locked
Apr 20, 2020 · Control person left · inference
••• Locked
Mar 30, 2020 · RAUM change · derived
••• Locked
Mar 31, 2019 · RAUM change · derived
••• Locked
Mar 31, 2019 · Control person left · inference
••• Locked
Mar 29, 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 21, 2025

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

Across the graphs

N••••• M••••••••• L• is the same institution as 1 record in Allocators.

Allocators1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.