DFX Intelligence

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S••••••• V•••• L••

Asset manager (funds and pooled vehicles)SEC-registered5 private funds· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $279M of regulatory assets.

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

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $279M
Advisors: 0
RAUM change, 1 year: +1.4%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 160697 · SEC 801-73419 · 28 filingsShow

CRD 160697SEC 801-73419First filing on the tape Feb 13, 2012, latest Mar 27, 2026SEC status approved since Mar 19, 2012IAPD

RAUM

$279M

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

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM +6.4% a year over three years · the tape starts Feb 13, 2012

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

RAUM$279M as of Mar 27, 2026

Mar 20, 2013$191M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 20, 20130 then

Employees (5.A)11 as of Mar 27, 2026

Mar 20, 20137 then

Private funds5 as of Mar 27, 2026

Mar 20, 201310 then

RAUM +1.4% over the last fiscal year+6.4% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 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: $55.7MderivedRAUM 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: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: +1.4%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: $279M, 5 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)
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$279M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 5reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $279M for 5 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

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

Fund	Type	Gross assets	Owners	First reported
S••••••• A••••••• I••••••••• L•	Hedge Fund	$170M	54	Apr 11, 2013
S••••••• P•••••••• L•	Hedge Fund	$40.4M	37	Feb 13, 2012
S••••••• A••••••• F•••• L•	Hedge Fund	$26.8M	44	Mar 20, 2013
S••••••• V•••• P••••••• V••• L•	Hedge Fund	$24.3M	2	Feb 13, 2012
S••••••• A••••••••• L•	Hedge Fund	$17.1M	9	Feb 13, 2012

All 12 private fundslargest gross assets first

Fund	Type	Gross assets	First reported
S••••••• V•••• P••••••• I• L•no longer reported	Hedge Fund	$0	Feb 13, 2012
S••••••• V•••• P••••••• I•• L•no longer reported	Hedge Fund	$0	Feb 13, 2012
S••••••• V•••• P••••••• V•• L•no longer reported	Hedge Fund	$0	Feb 13, 2012
S••••••• F•••••••• F•••• L•••no longer reported	Hedge Fund	$0	Feb 13, 2012
S••••••• V•••• P••••••• I••• L•no longer reported	Hedge Fund	$0	Feb 13, 2012
S••••••• V•••• P••••••• I•• L•no longer reported	Hedge Fund	$0	Feb 13, 2012
S••••••• V•••• P••••••• V• L•no longer reported	Hedge Fund	$0	Feb 13, 2012

Owners and control persons

Schedule A and B, latest filing

S•••• R•••• B•••• · Chief Financial Officercontrol
since 10/2021 · owns less than 5%
S•••••••• J•••••• D•••• · Principalcontrol
since 03/2016 · owns 75% or more
B••••••• E•••••• J• · General Counsel
since 05/2013 · owns less than 5%
M•••••• M••••••• J• · Chief Compliance Officer
since 08/2022 · owns less than 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 24 fund-person rows in all

Name	Where	Funds	Filings	Named
J••••• S•••••••executive officer	New York, NY	9	68	Jun 10, 2021 to Aug 3, 2026
C•••••• B••••••executive officer	New York, NY	5	5	n/a
M•••• P•••••executive officer	New York, NY	5	5	n/a
N••• N••••••executive officer	New York, NY	5	5	n/a

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (1 of 4 here); every other name is as filed and is not joined to anyone.

13F holdings

quarter ended Jun 30, 2026, filed Aug 7, 2026

Reported value: $174M+4.5% on Mar 31, 2026 ($167M)reportedsec.gov
Positions: 24 in 22 issuers-4.0% on the quarterreported
Concentration: top 10 issuers 96%, largest 45%derivedlargest: Wheeler Real Estate Invt Tr
Filed as: • S••••••• V•••• L••reportedmatched by the 13F filer reports this CRD

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Brewster, NY1 employee
San Juan, PR1 employee

What changed

consecutive filings, newest first

Assets in custody · $275M to $279M
Mar 28, 2025 to Mar 27, 2026
Employees · 10 to 11
Mar 28, 2025 to Mar 27, 2026
Discretionary RAUM · $275M to $279M
Mar 28, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $275M to $279M
Mar 28, 2025 to Mar 27, 2026
RAUM · $275M to $279M
Mar 28, 2025 to Mar 27, 2026

Full history · 80 changes

Assets in custody · $250M to $275M
Oct 2, 2024 to Mar 28, 2025
Financial planning clients · 0 to 0
Oct 2, 2024 to Mar 28, 2025
Discretionary RAUM · $250M to $275M
Oct 2, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $250M to $275M
Oct 2, 2024 to Mar 28, 2025
RAUM · $250M to $275M
Oct 2, 2024 to Mar 28, 2025
Advisory employees · 1 to 2
Mar 28, 2023 to Mar 26, 2024
Assets in custody · $238M to $250M
Mar 28, 2023 to Mar 26, 2024
Discretionary RAUM · $232M to $250M
Mar 28, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $232M to $250M
Mar 28, 2023 to Mar 26, 2024
RAUM · $232M to $250M
Mar 28, 2023 to Mar 26, 2024
Employees · 9 to 10
Aug 12, 2022 to Mar 28, 2023
Discretionary RAUM · $238M to $232M
Aug 12, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $238M to $232M
Aug 12, 2022 to Mar 28, 2023
RAUM · $238M to $232M
Aug 12, 2022 to Mar 28, 2023
Advisory employees · 2 to 1
Oct 27, 2021 to Mar 29, 2022
Assets in custody · $209M to $238M
Oct 27, 2021 to Mar 29, 2022
Employees · 8 to 9
Oct 27, 2021 to Mar 29, 2022
Discretionary RAUM · $209M to $238M
Oct 27, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $209M to $238M
Oct 27, 2021 to Mar 29, 2022
RAUM · $209M to $238M
Oct 27, 2021 to Mar 29, 2022
Assets in custody · $231M to $209M
Mar 25, 2020 to Mar 26, 2021
Employees · 9 to 8
Mar 25, 2020 to Mar 26, 2021
Other offices · 1 to 2
Mar 25, 2020 to Mar 26, 2021
Discretionary RAUM · $231M to $209M
Mar 25, 2020 to Mar 26, 2021
Pooled vehicle RAUM · $231M to $209M
Mar 25, 2020 to Mar 26, 2021
RAUM · $231M to $209M
Mar 25, 2020 to Mar 26, 2021
Related adviser · true to false
Mar 25, 2020 to Mar 26, 2021
Assets in custody · $206M to $231M
Jan 8, 2020 to Mar 25, 2020
Employees · 7 to 9
Jan 8, 2020 to Mar 25, 2020
Discretionary RAUM · $206M to $231M
Jan 8, 2020 to Mar 25, 2020
Pooled vehicle RAUM · $206M to $231M
Jan 8, 2020 to Mar 25, 2020
RAUM · $206M to $231M
Jan 8, 2020 to Mar 25, 2020
Accounts · 6 to 5
Apr 12, 2018 to Mar 27, 2019
Pooled vehicle clients · 6 to 5
Apr 12, 2018 to Mar 27, 2019
Assets in custody · $223M to $206M
Apr 12, 2018 to Mar 27, 2019
Private funds · 6 to 5
Apr 12, 2018 to Mar 27, 2019
Discretionary RAUM · $223M to $206M
Apr 12, 2018 to Mar 27, 2019
Pooled vehicle RAUM · $223M to $206M
Apr 12, 2018 to Mar 27, 2019
RAUM · $223M to $206M
Apr 12, 2018 to Mar 27, 2019
Employees · 8 to 7
Mar 28, 2018 to Apr 12, 2018
Discretionary RAUM · $223M to $223M
Mar 28, 2018 to Apr 12, 2018
Pooled vehicle RAUM · $223M to $223M
Mar 28, 2018 to Apr 12, 2018
RAUM · $223M to $223M
Mar 28, 2018 to Apr 12, 2018
Accounts · 7 to 6
Mar 27, 2017 to Mar 28, 2018
Advisory employees · 1 to 2
Mar 27, 2017 to Mar 28, 2018
Charity clients · unset to 0.0
Mar 27, 2017 to Mar 28, 2018
Corporate clients · unset to 0.0
Mar 27, 2017 to Mar 28, 2018
HNW clients · unset to 0.0
Mar 27, 2017 to Mar 28, 2018
Individual clients · unset to 0.0
Mar 27, 2017 to Mar 28, 2018
Pension plan clients · unset to 0.0
Mar 27, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 6.0
Mar 27, 2017 to Mar 28, 2018
Assets in custody · $237M to $223M
Mar 27, 2017 to Mar 28, 2018
Employees · 7 to 8
Mar 27, 2017 to Mar 28, 2018
Other offices · unset to 1.0
Mar 27, 2017 to Mar 28, 2018
Private funds · 7 to 6
Mar 27, 2017 to Mar 28, 2018
Discretionary RAUM · $237M to $223M
Mar 27, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 223062530.0
Mar 27, 2017 to Mar 28, 2018
RAUM · $237M to $223M
Mar 27, 2017 to Mar 28, 2018
Accounts · 9 to 7
Mar 29, 2016 to Mar 27, 2017
Assets in custody · $217M to $237M
Mar 29, 2016 to Mar 27, 2017
Employees · 4 to 7
Mar 29, 2016 to Mar 27, 2017
Private funds · 9 to 7
Mar 29, 2016 to Mar 27, 2017
Discretionary RAUM · $217M to $237M
Mar 29, 2016 to Mar 27, 2017
RAUM · $217M to $237M
Mar 29, 2016 to Mar 27, 2017
Accounts · 11 to 9
Mar 31, 2015 to Mar 29, 2016
Advisory employees · 2 to 1
Mar 31, 2015 to Mar 29, 2016
Assets in custody · $201M to $217M
Mar 31, 2015 to Mar 29, 2016
Employees · 6 to 4
Mar 31, 2015 to Mar 29, 2016
Private funds · 11 to 9
Mar 31, 2015 to Mar 29, 2016
Discretionary RAUM · $201M to $217M
Mar 31, 2015 to Mar 29, 2016
RAUM · $201M to $217M
Mar 31, 2015 to Mar 29, 2016
Advisory employees · 1 to 2
Aug 15, 2014 to Mar 31, 2015
Assets in custody · $186M to $201M
Aug 15, 2014 to Mar 31, 2015
Employees · 8 to 6
Aug 15, 2014 to Mar 31, 2015
Discretionary RAUM · $211M to $201M
Aug 15, 2014 to Mar 31, 2015

Signals

5 dated events

••• Locked
Mar 27, 2026 · ria principal change · derived
••• Locked
Mar 27, 2026 · ria principal change · fact
••• Locked
Mar 27, 2026 · ria principal change · derived
••• Locked
Mar 27, 2026 · Control person left · inference
••• Locked
Oct 27, 2021 · Control person joined · fact

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, Mar 27, 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.