DFX Intelligence
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Y••••• C•••••• M••••••••• I•••
Asset manager (funds and pooled vehicles)SEC-registered1 private funds· Westport, Connecticut
Asset manager (funds and pooled vehicles), based in Westport, Connecticut, reporting $412M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $412M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +18%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $348MRAUM now $412M
- Contact points 1
Every filed figure, and the identifiersCRD 159398 · SEC 801-74073 · 26 filingsShowHide
CRD 159398SEC 801-74073First filing on the tape Feb 14, 2012, latest Apr 22, 2026SEC status approved since Mar 5, 2012IAPD
RAUM
$412M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$412M as of Apr 22, 2026
Mar 27, 2013$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 22, 2026
Mar 27, 20130 then
Employees (5.A)4 as of Apr 22, 2026
Mar 27, 20134 then
Private funds1 as of Apr 22, 2026
Mar 27, 20132 then
RAUM +18% over the last fiscal year-10.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 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
- $137MderivedRAUM 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
- +18%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
- $108M, 1 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
- Pooled investment vehicles$412M100%
- 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
- $108M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Y••••• P•••••••• L••• | Hedge Fund | $81.0M | 35 | Feb 14, 2012 |
| Y••••• O••••••• F••• L•••no longer reported | Hedge Fund | $5.2M | 5 | Feb 14, 2012 |
| Y••••• E••••••• O••••••• F••• L••• | Hedge Fund | $2.6M | 2 | Mar 16, 2020 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• B••••• M••••••• · P••••••••• C•••• I••••••••• O•••••• A•• M••••••• M••••• O• Y• M••••••••• L•••••controlsince 02/1997 · owns 75% or more
- S•••••••• N•••••••• D••••••• · Chief Compliance Officer, Chief Financial Officercontrolsince 03/2020 · owns less than 5%
Related persons
Schedule D 7.A
- Y• M••••••••• L•••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 20, 2026 to Apr 22, 2026
- Pooled vehicle clients · 4 to 3Mar 20, 2026 to Apr 22, 2026
- Assets in custody · $110M to $108MMar 20, 2026 to Apr 22, 2026
- Private funds · 2 to 1Mar 20, 2026 to Apr 22, 2026
- Discretionary RAUM · $393M to $412MMar 20, 2026 to Apr 22, 2026
- Pooled vehicle RAUM · $393M to $412MMar 20, 2026 to Apr 22, 2026
- RAUM · $393M to $412MMar 20, 2026 to Apr 22, 2026
- Accounts · 3 to 4Mar 24, 2025 to Mar 20, 2026
- Pooled vehicle clients · 3 to 4Mar 24, 2025 to Mar 20, 2026
- Assets in custody · $86.0M to $110MMar 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $348M to $393MMar 24, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $348M to $393MMar 24, 2025 to Mar 20, 2026
- RAUM · $348M to $393MMar 24, 2025 to Mar 20, 2026
- Assets in custody · $83.6M to $86.0MMar 12, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 12, 2024 to Mar 24, 2025
- Discretionary RAUM · $373M to $348MMar 12, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $373M to $348MMar 12, 2024 to Mar 24, 2025
- RAUM · $373M to $348MMar 12, 2024 to Mar 24, 2025
- Assets in custody · $89.7M to $83.6MApr 19, 2023 to Mar 12, 2024
- Discretionary RAUM · $565M to $373MApr 19, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · $565M to $373MApr 19, 2023 to Mar 12, 2024
- RAUM · $565M to $373MApr 19, 2023 to Mar 12, 2024
- Assets in custody · $88.3M to $89.7MMar 27, 2023 to Apr 19, 2023
- Discretionary RAUM · $564M to $565MMar 27, 2023 to Apr 19, 2023
- Pooled vehicle RAUM · $564M to $565MMar 27, 2023 to Apr 19, 2023
- RAUM · $564M to $565MMar 27, 2023 to Apr 19, 2023
- Assets in custody · $80.7M to $88.3MMay 6, 2022 to Mar 27, 2023
- Employees · 5 to 4May 6, 2022 to Mar 27, 2023
- Discretionary RAUM · $848M to $564MMay 6, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $848M to $564MMay 6, 2022 to Mar 27, 2023
- RAUM · $848M to $564MMay 6, 2022 to Mar 27, 2023
- Discretionary RAUM · $909M to $848MApr 22, 2022 to May 6, 2022
- Pooled vehicle RAUM · $909M to $848MApr 22, 2022 to May 6, 2022
- RAUM · $909M to $848MApr 22, 2022 to May 6, 2022
- Assets in custody · $79.1M to $80.7MApr 7, 2022 to Apr 22, 2022
- Discretionary RAUM · $907M to $909MApr 7, 2022 to Apr 22, 2022
- Pooled vehicle RAUM · $907M to $909MApr 7, 2022 to Apr 22, 2022
- RAUM · $907M to $909MApr 7, 2022 to Apr 22, 2022
- Assets in custody · $54.0M to $79.1MDec 7, 2021 to Mar 15, 2022
- Employees · 4 to 5Dec 7, 2021 to Mar 15, 2022
Signals
4 dated events
- ••• LockedMar 12, 2024 · RAUM change · derived
- ••• LockedMar 27, 2023 · RAUM change · derived
- ••• LockedMar 15, 2022 · RAUM change · derived
- ••• LockedMar 20, 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, Apr 22, 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