DFX Intelligence

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A•••••• P•••••••

Former SEC-registered adviserFormer SEC adviser8 private funds· Stamford, Connecticut

Former SEC-registered adviser, based in Stamford, Connecticut, reporting $895M of regulatory assets.

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

As of 2019-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $895M
RAUM change, 1 year: +9.3%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2019-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Jan 2019, RAUM $819M to $895M (+9.3%) on the Form ADV filed 23 Jan 2019.

Every filed figure, and the identifiersCRD 160595 · SEC 801-73664 · 13 filingsShow

CRD 160595SEC 801-73664Legal name A•••••• A••••••• P•••••••First filing on the tape Feb 14, 2012, latest Jan 23, 2019IAPD

RAUM

$895M

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

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$918M gross assets

History

13 filings and snapshots on the tape

RAUM +4.1% a year over three years · the tape starts Feb 14, 2012

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

RAUM$895M as of Mar 22, 2018

Mar 25, 2013$602M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 22, 2018

Mar 25, 20130 then

Employees (5.A)13 as of Mar 22, 2018

Mar 25, 201315 then

Private funds7 as of Mar 22, 2018

Mar 25, 20137 then

RAUM +9.3% over the last fiscal year+4.1% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jan 23, 2019; 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: $128MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +9.3%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: $123M, 4 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)
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

100% pooled investment vehicles

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

Pooled investment vehicles$895M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 7reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $123M for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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

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

Fund	Type	Gross assets	Owners	First reported
A•••••• P••••••• I••••••••• F•••• L•no longer reported	Hedge Fund	$198M	2	Feb 14, 2012
A•••••• R••••••••• P••••••• F•••• L•••no longer reported	Hedge Fund	$26.3M	4	Mar 28, 2014
A•••••• O••••••• F•••• L•••no longer reported	Hedge Fund	$8.1M	6	Feb 14, 2012
A•••••• R•••••••• E••••• O••••••• F•••• L•••no longer reported	Hedge Fund	$2.2M	2	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• K•••• D••••• · Limited Partnercontrol
since 01/1998 · owns 10% to 25%
B••••• B•••••••• I•• · Limited Partnercontrol
since 06/2007 · owns less than 5%
G•••••• G•••••• A••••• · Limited Partnercontrol
since 03/1994 · owns less than 5%
H••••••••• P•••••• J•• · Limited Partnercontrol
since 12/1986 · owns 50% to 75%
H••••••••• S••••••• J•• · Limited Partnercontrol
since 01/2006 · owns 10% to 25%

All 8 control persons

N•••••• S•••••• N••••••• · Limited Partner, Chief Financial Officer, Chief Compliance Officercontrol
since 11/2001 · owns less than 5%
H••••••••• P•••••• J•• · Managing Membercontrol
since 10/2018 · owns 50% to 75% of A•••••• A••••••• P••••••• G• L••
H••••••••• S••••••• J•• · Managing Membercontrol
since 10/2018 · owns 50% to 75% of A•••••• A••••••• P••••••• G• L••

Entity owners

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

Related persons

Schedule D 7.A

A•••••• A••••••• P••••••• G• L••
n
A•••••• P••••••• I• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY3 employees

What changed

consecutive filings, newest first

Organization form · Partnership to Limited Partnership
Mar 22, 2018 to Jan 23, 2019
Private funds · 7 to 8
Mar 22, 2018 to Jan 23, 2019
Succession · false to true
Mar 22, 2018 to Jan 23, 2019
Advisory employees · 8 to 7
Apr 17, 2017 to Mar 22, 2018
Pooled vehicle clients · unset to 7.0
Apr 17, 2017 to Mar 22, 2018

Full history · 53 changes

Assets in custody · $91.8M to $123M
Apr 17, 2017 to Mar 22, 2018
Employees · 15 to 13
Apr 17, 2017 to Mar 22, 2018
Other offices · unset to 1.0
Apr 17, 2017 to Mar 22, 2018
Discretionary RAUM · $793M to $895M
Apr 17, 2017 to Mar 22, 2018
Pooled vehicle RAUM · unset to 895315000.0
Apr 17, 2017 to Mar 22, 2018
RAUM · $793M to $895M
Apr 17, 2017 to Mar 22, 2018
Accounts · 8 to 7
Mar 16, 2017 to Apr 17, 2017
Private funds · 8 to 7
Mar 16, 2017 to Apr 17, 2017
Discretionary RAUM · $819M to $793M
Mar 16, 2017 to Apr 17, 2017
RAUM · $819M to $793M
Mar 16, 2017 to Apr 17, 2017
Accounts · 7 to 8
Jun 23, 2016 to Mar 16, 2017
Advisory employees · 10 to 8
Jun 23, 2016 to Mar 16, 2017
Assets in custody · $147M to $91.8M
Jun 23, 2016 to Mar 16, 2017
Employees · 17 to 15
Jun 23, 2016 to Mar 16, 2017
Private funds · 7 to 8
Jun 23, 2016 to Mar 16, 2017
Discretionary RAUM · $855M to $819M
Jun 23, 2016 to Mar 16, 2017
RAUM · $855M to $819M
Jun 23, 2016 to Mar 16, 2017
Advisory employees · 11 to 10
Mar 17, 2015 to Mar 2, 2016
Assets in custody · $296M to $147M
Mar 17, 2015 to Mar 2, 2016
Employees · 18 to 17
Mar 17, 2015 to Mar 2, 2016
Discretionary RAUM · $794M to $855M
Mar 17, 2015 to Mar 2, 2016
RAUM · $794M to $855M
Mar 17, 2015 to Mar 2, 2016
Accounts · 8 to 7
Mar 28, 2014 to Mar 17, 2015
Advisory employees · 9 to 11
Mar 28, 2014 to Mar 17, 2015
Advisory activities · 3 to 1
Mar 28, 2014 to Mar 17, 2015
Assets in custody · $34.2M to $296M
Mar 28, 2014 to Mar 17, 2015
Employees · 17 to 18
Mar 28, 2014 to Mar 17, 2015
Private funds · 6 to 7
Mar 28, 2014 to Mar 17, 2015
Discretionary RAUM · $862M to $794M
Mar 28, 2014 to Mar 17, 2015
RAUM · $862M to $794M
Mar 28, 2014 to Mar 17, 2015
Related bank · false to true
Mar 28, 2014 to Mar 17, 2015
Accounts · 7 to 8
Aug 28, 2013 to Mar 28, 2014
Advisory employees · 8 to 9
Aug 28, 2013 to Mar 28, 2014
Assets in custody · $10.3M to $34.2M
Aug 28, 2013 to Mar 28, 2014
Employees · 15 to 17
Aug 28, 2013 to Mar 28, 2014
Private funds · 5 to 6
Aug 28, 2013 to Mar 28, 2014
Discretionary RAUM · $602M to $862M
Aug 28, 2013 to Mar 28, 2014
RAUM · $602M to $862M
Aug 28, 2013 to Mar 28, 2014
Private funds · 7 to 5
Mar 25, 2013 to Aug 28, 2013
Accounts · 8 to 7
Feb 15, 2013 to Mar 25, 2013
Assets in custody · $19.9M to $10.3M
Feb 15, 2013 to Mar 25, 2013
Private funds · 6 to 7
Feb 15, 2013 to Mar 25, 2013
Discretionary RAUM · $545M to $602M
Feb 15, 2013 to Mar 25, 2013
RAUM · $545M to $602M
Feb 15, 2013 to Mar 25, 2013
Advisory employees · unset to 8.0
Aug 16, 2012 to Feb 15, 2013
BD registered reps · unset to 0.0
Aug 16, 2012 to Feb 15, 2013
Employees · unset to 15.0
Aug 16, 2012 to Feb 15, 2013
State-registered IARs · unset to 0.0
Aug 16, 2012 to Feb 15, 2013

Signals

1 dated events

••• Locked
Jan 23, 2019 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda 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