DFX Intelligence

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C•••••••• C•••••• M••••••••• L•••

Asset manager (funds and pooled vehicles)SEC-registered3 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $263M of regulatory assets.

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

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $263M
Advisors: 0
RAUM change, 1 year: -10%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Mar 2026, RAUM $293M to $263M (-10.3%) on the Form ADV filed 25 Mar 2026.

Every filed figure, and the identifiersCRD 160807 · SEC 801-73190 · 20 filingsShow

CRD 160807SEC 801-73190First filing on the tape Feb 8, 2012, latest Mar 25, 2026SEC status approved since Feb 22, 2012IAPD

RAUM

$263M

reported, Item 5.F

Discretionary

97%

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM -3.2% a year over three years · the tape starts Feb 8, 2012

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

RAUM$263M as of Mar 25, 2026

Mar 20, 2013$1.6B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2026

Mar 20, 20130 then

Employees (5.A)4 as of Mar 25, 2026

Mar 20, 201313 then

Private funds3 as of Mar 25, 2026

Mar 20, 20132 then

RAUM -10% over the last fiscal year-3.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 25, 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: $43.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 97%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: -10%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: yesreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

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$263M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
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

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

Fund	Type	Gross assets	Owners	First reported
C•••••••• C•••••• M••••• F•••• L•••	Hedge Fund	$233M	49	Feb 8, 2012
C•••••••• C•••••• P••••••• I•• L•••	Hedge Fund	$17.9M	9	Feb 8, 2012
C•••••••• G••••• M••••• F•••• L••	Hedge Fund	$11.7M	3	Mar 28, 2022

Owners and control persons

Schedule A and B, latest filing

M••••• A•••• T•••• · Chief Compliance Officercontrol
since 08/2022 · owns less than 5%
W•••••••• M••••••• R•• · Senior Managing Directorcontrol
since 05/2009 · owns 25% to 50%
M••••• A•••• T•••• · Managing General Partnercontrol
since 05/2009 · owns 75% or more of A•••• C•••••• L•••

Entity owners

A•••• C•••••• L••• · Partner
direct · owns 25% to 50%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 6 fund-person rows in all

Name	Where	Funds	Filings	Named
C•••••••• C•••••• G••••• L••entityexecutive officer	New York, NY	2	16	Oct 28, 2020 to Oct 25, 2023
A••• R• M••••executive officer	New York, NY	1	18	Oct 28, 2020 to Oct 24, 2025
M•••••• R• W•••••••executive officer	New York, NY	1	18	Oct 28, 2020 to Oct 24, 2025
C•••••••• C•••••• M••••••••• L•••entityexecutive officer	New York, NY	1	15	Oct 28, 2020 to Oct 25, 2023
C•••••••• C•••••• M•••••••••executive officer	New York, NY	1	1	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 (2 of 5 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

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

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $274M to $255M
Mar 26, 2025 to Mar 25, 2026
Non-discretionary RAUM · $18.7M to $7.9M
Mar 26, 2025 to Mar 25, 2026
Pooled vehicle RAUM · $293M to $263M
Mar 26, 2025 to Mar 25, 2026
RAUM · $293M to $263M
Mar 26, 2025 to Mar 25, 2026
Financial planning clients · unset to
Apr 18, 2024 to Mar 26, 2025

Full history · 67 changes

Discretionary RAUM · $346M to $274M
Apr 18, 2024 to Mar 26, 2025
Non-discretionary RAUM · $1.9M to $18.7M
Apr 18, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $348M to $293M
Apr 18, 2024 to Mar 26, 2025
RAUM · $348M to $293M
Apr 18, 2024 to Mar 26, 2025
Discretionary RAUM · $290M to $346M
Mar 21, 2023 to Mar 20, 2024
Non-discretionary RAUM · $359,460 to $1.9M
Mar 21, 2023 to Mar 20, 2024
Pooled vehicle RAUM · $290M to $348M
Mar 21, 2023 to Mar 20, 2024
RAUM · $290M to $348M
Mar 21, 2023 to Mar 20, 2024
Employees · 7 to 4
Nov 16, 2022 to Mar 21, 2023
Discretionary RAUM · $413M to $290M
Nov 16, 2022 to Mar 21, 2023
Non-discretionary RAUM · $7.3M to $359,460
Nov 16, 2022 to Mar 21, 2023
Pooled vehicle RAUM · $421M to $290M
Nov 16, 2022 to Mar 21, 2023
RAUM · $421M to $290M
Nov 16, 2022 to Mar 21, 2023
Accounts · 4 to 6
Mar 19, 2021 to Mar 28, 2022
Advisory employees · 5 to 3
Mar 19, 2021 to Mar 28, 2022
Pooled vehicle clients · 4 to 6
Mar 19, 2021 to Mar 28, 2022
Employees · 9 to 7
Mar 19, 2021 to Mar 28, 2022
Private funds · 2 to 3
Mar 19, 2021 to Mar 28, 2022
Discretionary RAUM · $436M to $413M
Mar 19, 2021 to Mar 28, 2022
Non-discretionary RAUM · $10.9M to $7.3M
Mar 19, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $447M to $421M
Mar 19, 2021 to Mar 28, 2022
RAUM · $447M to $421M
Mar 19, 2021 to Mar 28, 2022
Discretionary RAUM · $389M to $436M
Mar 26, 2020 to Mar 19, 2021
Non-discretionary RAUM · $4.1M to $10.9M
Mar 26, 2020 to Mar 19, 2021
Pooled vehicle RAUM · $393M to $447M
Mar 26, 2020 to Mar 19, 2021
RAUM · $393M to $447M
Mar 26, 2020 to Mar 19, 2021
Other offices · 1 to 0
Mar 25, 2019 to Mar 26, 2020
Discretionary RAUM · $348M to $389M
Mar 25, 2019 to Mar 26, 2020
Non-discretionary RAUM · $2.6M to $4.1M
Mar 25, 2019 to Mar 26, 2020
Pooled vehicle RAUM · $350M to $393M
Mar 25, 2019 to Mar 26, 2020
RAUM · $350M to $393M
Mar 25, 2019 to Mar 26, 2020
Discretionary RAUM · $401M to $348M
Nov 8, 2018 to Mar 25, 2019
Non-discretionary RAUM · $31.7M to $2.6M
Nov 8, 2018 to Mar 25, 2019
Pooled vehicle RAUM · $432M to $350M
Nov 8, 2018 to Mar 25, 2019
RAUM · $432M to $350M
Nov 8, 2018 to Mar 25, 2019
Pooled vehicle clients · unset to 4.0
Sep 27, 2017 to Mar 26, 2018
Employees · 12 to 9
Sep 27, 2017 to Mar 26, 2018
Other offices · unset to 1.0
Sep 27, 2017 to Mar 26, 2018
Discretionary RAUM · $472M to $401M
Sep 27, 2017 to Mar 26, 2018
Non-discretionary RAUM · $85.2M to $31.7M
Sep 27, 2017 to Mar 26, 2018
Pooled vehicle RAUM · unset to 432381949.0
Sep 27, 2017 to Mar 26, 2018
RAUM · $557M to $432M
Sep 27, 2017 to Mar 26, 2018
Advisory employees · 7 to 5
Mar 17, 2016 to Mar 30, 2017
Employees · 15 to 12
Mar 17, 2016 to Mar 30, 2017
Discretionary RAUM · $1.2B to $472M
Mar 17, 2016 to Mar 30, 2017
Non-discretionary RAUM · $0 to $85.2M
Mar 17, 2016 to Mar 30, 2017
RAUM · $1.2B to $557M
Mar 17, 2016 to Mar 30, 2017
Discretionary RAUM · $1.5B to $1.2B
Mar 23, 2015 to Mar 17, 2016
RAUM · $1.5B to $1.2B
Mar 23, 2015 to Mar 17, 2016
Advisory employees · 8 to 7
Mar 24, 2014 to Mar 23, 2015
Discretionary RAUM · $1.8B to $1.5B
Mar 24, 2014 to Mar 23, 2015
RAUM · $1.8B to $1.5B
Mar 24, 2014 to Mar 23, 2015
Advisory employees · 6 to 8
Mar 20, 2013 to Mar 24, 2014
Employees · 13 to 15
Mar 20, 2013 to Mar 24, 2014
Discretionary RAUM · $1.6B to $1.8B
Mar 20, 2013 to Mar 24, 2014
RAUM · $1.6B to $1.8B
Mar 20, 2013 to Mar 24, 2014
Advisory employees · unset to 6.0
Feb 8, 2012 to Mar 20, 2013
BD registered reps · unset to 0.0
Feb 8, 2012 to Mar 20, 2013
Employees · unset to 13.0
Feb 8, 2012 to Mar 20, 2013
State-registered IARs · unset to 0.0
Feb 8, 2012 to Mar 20, 2013
Discretionary RAUM · $1.3B to $1.6B
Feb 8, 2012 to Mar 20, 2013
RAUM · $1.3B to $1.6B
Feb 8, 2012 to Mar 20, 2013

Signals

2 dated events

••• Locked
Mar 21, 2023 · RAUM change · derived
••• Locked
Aug 3, 2022 · Control person left · inference

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 25, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 25, 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.