DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

N••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 161156SEC 801-73991website IAPD

Latest filing Mar 27, 2026

First filing on the tape Feb 14, 2012 · 33 filings

SEC status approved since Mar 14, 2012

RAUM

$2.1B

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

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

33 filings and snapshots on the tape

RAUM$2.1B as of Mar 27, 2026

Apr 1, 2013$283M then

HNW client RAUM: no history

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

Apr 1, 20130 then

Employees (5.A)12 as of Mar 27, 2026

Apr 1, 20138 then

Private funds3 as of Mar 27, 2026

Apr 1, 20132 then

RAUM +26% over the last fiscal year+21% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 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: $690MderivedRAUM 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: +26%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: $2.1B, 3 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)
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$2.1B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $2.1B for 3 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=true 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
N••••• T• P•••••••• L•	Hedge Fund	$792M	42	Feb 14, 2012
N••••• P•••••••• L•	Hedge Fund	$767M	36	Feb 14, 2012
N••••• O••••••• P•••••••• L•••	Hedge Fund	$163M	9	Mar 31, 2020

Owners and control persons

Schedule A and B, latest filing

A•••• N•••• · Chief Financial Officer/Chief Compliance Officercontrol
since 02/2014 · owns less than 5%
D••••••••• E••••• · Managing Membercontrol
since 07/2011 · owns 25% to 50%
L•••• N•••• G•••••• · Managing Membercontrol
since 07/2011 · owns 50% to 75%

Related persons

Schedule D 7.A

N••••• C•••••• P•••••••• L•
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $1.6B to $2.1B
Nov 17, 2025 to Mar 27, 2026
Discretionary RAUM · $1.6B to $2.1B
Nov 17, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $1.6B to $2.1B
Nov 17, 2025 to Mar 27, 2026
RAUM · $1.6B to $2.1B
Nov 17, 2025 to Mar 27, 2026
Financial planning clients · 0 to 0
Apr 4, 2025 to Nov 17, 2025
Assets in custody · $1.6B to $1.6B
Oct 15, 2024 to Apr 4, 2025
Discretionary RAUM · $1.6B to $1.6B
Oct 15, 2024 to Apr 4, 2025
Pooled vehicle RAUM · $1.6B to $1.6B
Oct 15, 2024 to Apr 4, 2025
RAUM · $1.6B to $1.6B
Oct 15, 2024 to Apr 4, 2025
Advisory employees · 7 to 8
Apr 25, 2023 to Mar 28, 2024
Assets in custody · $1.2B to $1.6B
Apr 25, 2023 to Mar 28, 2024
Employees · 11 to 12
Apr 25, 2023 to Mar 28, 2024
Discretionary RAUM · $1.2B to $1.6B
Apr 25, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $1.2B to $1.6B
Apr 25, 2023 to Mar 28, 2024
RAUM · $1.2B to $1.6B
Apr 25, 2023 to Mar 28, 2024
Accounts · 2 to 3
Apr 5, 2023 to Apr 25, 2023
Pooled vehicle clients · 2 to 3
Apr 5, 2023 to Apr 25, 2023
Assets in custody · unset to 1176002000.0
Apr 5, 2023 to Apr 25, 2023
Custody of client assets · false to true
Apr 5, 2023 to Apr 25, 2023
Discretionary RAUM · $1.1B to $1.2B
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $1.1B to $1.2B
Mar 31, 2022 to Mar 31, 2023
RAUM · $1.1B to $1.2B
Mar 31, 2022 to Mar 31, 2023
Advisory employees · 9 to 7
Apr 22, 2021 to Mar 31, 2022
Employees · 12 to 11
Apr 22, 2021 to Mar 31, 2022
Discretionary RAUM · $1.1B to $1.1B
Apr 22, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $1.1B to $1.1B
Apr 22, 2021 to Mar 31, 2022
RAUM · $1.1B to $1.1B
Apr 22, 2021 to Mar 31, 2022
Discretionary RAUM · $1.1B to $1.1B
Mar 30, 2021 to Apr 22, 2021
Pooled vehicle RAUM · $1.1B to $1.1B
Mar 30, 2021 to Apr 22, 2021
RAUM · $1.1B to $1.1B
Mar 30, 2021 to Apr 22, 2021
Advisory employees · 8 to 9
Apr 6, 2020 to Mar 30, 2021
Employees · 11 to 12
Apr 6, 2020 to Mar 30, 2021
Discretionary RAUM · $1.2B to $1.1B
Apr 6, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $1.2B to $1.1B
Apr 6, 2020 to Mar 30, 2021
RAUM · $1.2B to $1.1B
Apr 6, 2020 to Mar 30, 2021
Advisory employees · 7 to 8
May 13, 2019 to Mar 31, 2020
Employees · 10 to 11
May 13, 2019 to Mar 31, 2020
Private funds · 2 to 3
May 13, 2019 to Mar 31, 2020
Discretionary RAUM · $1.2B to $1.2B
May 13, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $1.2B to $1.2B
May 13, 2019 to Mar 31, 2020

Signals

2 dated events

N••••• M••••••••• L•• reported RAUM $2.1B, up 26% from $1.6B (2025-11-17 to 2026-03-27)
Mar 27, 2026 · RAUM change · derived
N••••• M••••••••• L•• reported RAUM $1.6B, up 33% from $1.2B (2023-04-25 to 2024-03-28)
Mar 28, 2024 · 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

Firm profile: linkedin.com/company/newtyn-management/posts/?feedView=allreportedpublic record, Form ADV, Sep 21, 2026
Website: n•••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-446-2460reportedpublic record, Form ADV, Mar 27, 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