DFX Intelligence

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M•• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $299M of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $299M
Advisors: 0
RAUM change, 1 year: +130%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+130.2%
RAUM, one year
RAUM $130M to $299M (+130.2%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 161238 · SEC 801-76881 · 21 filingsShow

CRD 161238SEC 801-76881First filing on the tape Jun 29, 2012, latest Mar 30, 2026SEC status approved since Jul 14, 2012IAPD

RAUM

$299M

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

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM -6.9% a year over three years · the tape starts Jun 29, 2012

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

RAUM$299M as of Mar 30, 2026

Mar 28, 2013$1.0B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 28, 20130 then

Employees (5.A)18 as of Mar 30, 2026

Mar 28, 20138 then

Private funds1 as of Mar 30, 2026

Mar 28, 20131 then

RAUM +130% over the last fiscal year-6.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $99.8MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +130%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
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)
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$299M100%

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: noreported
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

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

Fund	Type	Gross assets	Owners	First reported
M•• F•••• L•••	Hedge Fund	$299M	11	Mar 28, 2013
M•• C•••••• P•••••••• L•••no longer reported	Hedge Fund	$150M	8	Mar 7, 2012
M•• O••••••• F•••• L•••no longer reported	Hedge Fund	$0	0	Mar 7, 2012
M•• S•••• F••• I• L•••	Hedge Fund	$0	0	Mar 29, 2021

Owners and control persons

Schedule A and B, latest filing

B••••••• D••••• A• · President, Cco, Cfocontrol
since 02/2012 · owns 10% to 25%
G••••••• R•••••• Y••• · Ceo/Ciocontrol
since 11/2007 · owns 75% or more

Related persons

Schedule D 7.A

M•• A•••• M••••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 30, 2026
RAUM (Item 5.F) moved from $130,042,949 to $299,356,808 (+130.0%) between the annual amendments of 2025-03-26 and 2026-03-30; the peer median change was +4.0% (1140 comparable advisers, 98.0th percentile of changes)
peers: asset managers, $100M to $500M (1,140) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Employees · 19 to 18
Mar 26, 2025 to Mar 30, 2026
Discretionary RAUM · $130M to $299M
Mar 26, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $130M to $299M
Mar 26, 2025 to Mar 30, 2026
RAUM · $130M to $299M
Mar 26, 2025 to Mar 30, 2026
Financial planning clients · unset to
Mar 28, 2024 to Mar 26, 2025

Full history · 71 changes

Discretionary RAUM · $337M to $130M
Mar 28, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $337M to $130M
Mar 28, 2024 to Mar 26, 2025
RAUM · $337M to $130M
Mar 28, 2024 to Mar 26, 2025
Private funds · 2 to 1
Mar 31, 2023 to Mar 28, 2024
Discretionary RAUM · $371M to $337M
Mar 31, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $371M to $337M
Mar 31, 2023 to Mar 28, 2024
RAUM · $371M to $337M
Mar 31, 2023 to Mar 28, 2024
Accounts · 5 to 3
Mar 28, 2022 to Mar 31, 2023
Advisory activities · 1 to 2
Mar 28, 2022 to Mar 31, 2023
Pooled vehicle clients · 5 to 3
Mar 28, 2022 to Mar 31, 2023
Employees · 21 to 19
Mar 28, 2022 to Mar 31, 2023
Discretionary RAUM · $459M to $371M
Mar 28, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $459M to $371M
Mar 28, 2022 to Mar 31, 2023
RAUM · $459M to $371M
Mar 28, 2022 to Mar 31, 2023
Advisory employees · 4 to 5
Mar 29, 2021 to Mar 28, 2022
Employees · 20 to 21
Mar 29, 2021 to Mar 28, 2022
Discretionary RAUM · $404M to $459M
Mar 29, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $404M to $459M
Mar 29, 2021 to Mar 28, 2022
RAUM · $404M to $459M
Mar 29, 2021 to Mar 28, 2022
Accounts · 3 to 5
Mar 30, 2020 to Mar 29, 2021
Advisory employees · 3 to 4
Mar 30, 2020 to Mar 29, 2021
Pooled vehicle clients · 3 to 5
Mar 30, 2020 to Mar 29, 2021
Employees · 14 to 20
Mar 30, 2020 to Mar 29, 2021
Private funds · 1 to 2
Mar 30, 2020 to Mar 29, 2021
Discretionary RAUM · $265M to $404M
Mar 30, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $265M to $404M
Mar 30, 2020 to Mar 29, 2021
RAUM · $265M to $404M
Mar 30, 2020 to Mar 29, 2021
Discretionary RAUM · $185M to $265M
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $185M to $265M
Mar 29, 2019 to Mar 30, 2020
RAUM · $185M to $265M
Mar 29, 2019 to Mar 30, 2020
Employees · 13 to 14
Mar 19, 2018 to Mar 29, 2019
Discretionary RAUM · $532M to $185M
Mar 19, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $532M to $185M
Mar 19, 2018 to Mar 29, 2019
RAUM · $532M to $185M
Mar 19, 2018 to Mar 29, 2019
Advisory employees · 4 to 3
Mar 29, 2017 to Mar 19, 2018
Pooled vehicle clients · unset to 3.0
Mar 29, 2017 to Mar 19, 2018
Employees · 14 to 13
Mar 29, 2017 to Mar 19, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 19, 2018
Discretionary RAUM · $676M to $532M
Mar 29, 2017 to Mar 19, 2018
Pooled vehicle RAUM · unset to 531796781.0
Mar 29, 2017 to Mar 19, 2018
RAUM · $676M to $532M
Mar 29, 2017 to Mar 19, 2018
Accounts · 2 to 3
Sep 16, 2016 to Mar 29, 2017
Employees · 13 to 14
Sep 16, 2016 to Mar 29, 2017
Discretionary RAUM · $107M to $676M
Sep 16, 2016 to Mar 29, 2017
RAUM · $107M to $676M
Sep 16, 2016 to Mar 29, 2017
Advisory employees · 3 to 4
Jul 8, 2016 to Sep 13, 2016
Employees · 12 to 13
Jul 8, 2016 to Sep 13, 2016
Advisory employees · 1 to 3
Oct 30, 2015 to Mar 28, 2016
Employees · 10 to 12
Oct 30, 2015 to Mar 28, 2016
Discretionary RAUM · $88.5M to $107M
Oct 30, 2015 to Mar 28, 2016
RAUM · $88.5M to $107M
Oct 30, 2015 to Mar 28, 2016
Discretionary RAUM · $370M to $88.5M
Oct 21, 2014 to Mar 11, 2015
RAUM · $370M to $88.5M
Oct 21, 2014 to Mar 11, 2015
Advisory employees · 3 to 1
May 6, 2013 to Mar 31, 2014
Employees · 8 to 10
May 6, 2013 to Mar 31, 2014
Discretionary RAUM · $1.0B to $370M
May 6, 2013 to Mar 31, 2014
RAUM · $1.0B to $370M
May 6, 2013 to Mar 31, 2014
Accounts · 3 to 2
Jun 29, 2012 to Mar 28, 2013
Advisory employees · unset to 3.0
Jun 29, 2012 to Mar 28, 2013
BD registered reps · unset to 0.0
Jun 29, 2012 to Mar 28, 2013
Employees · unset to 8.0
Jun 29, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Jun 29, 2012 to Mar 28, 2013
Private funds · 4 to 1
Jun 29, 2012 to Mar 28, 2013
Discretionary RAUM · $150M to $1.0B
Jun 29, 2012 to Mar 28, 2013
RAUM · $150M to $1.0B
Jun 29, 2012 to Mar 28, 2013
Related bank · true to false
Jun 29, 2012 to Mar 28, 2013

Signals

6 dated events

••• Locked
Mar 30, 2026 · RAUM change · derived
••• Locked
Mar 26, 2025 · RAUM change · derived
••• Locked
Mar 29, 2021 · RAUM change · derived
••• Locked
Mar 29, 2019 · RAUM change · derived
••• Locked
Mar 28, 2013 · ria registration change · fact

Full timeline · 6 events

••• Locked
Jun 29, 2012 · First SEC registration · 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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.