DFX Intelligence

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B•••••••• C•••••••• I••••••••• L••

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

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $173M of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $173M
Advisors: 0
RAUM change, 1 year: +18%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

2 changes
ownership and control
1 control person joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+17.6%
RAUM, one year
RAUM $147M to $173M (+17.6%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 161305 · SEC 801-77171 · 28 filingsShow

CRD 161305SEC 801-77171First filing on the tape Sep 13, 2012, latest Mar 31, 2026SEC status approved since Sep 28, 2012IAPD

RAUM

$173M

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

28 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Sep 13, 2012

Peer group: Asset managers, $100M to $500M, 1,568 firms

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

RAUM$173M as of Mar 31, 2026

Mar 13, 2013$50.9M then

HNW client RAUM$3.1M as of Mar 29, 2019

Mar 31, 2018$4.0M then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 13, 20130 then

Employees (5.A)9 as of Mar 31, 2026

Mar 13, 201310 then

Private funds1 as of Mar 31, 2026

Mar 13, 20131 then

RAUM +18% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: $173MderivedRAUM 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: +18%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: $173M, 1 clientreportedItem 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$173M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $173M for 1 clientreported
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

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

Fund	Type	Gross assets	Owners	First reported
B•••••••• C•••••••• E••••• P•••••••• L•••	Hedge Fund	$173M	19	Mar 27, 2012
B•••••••• N•••••• M••••• F••• I• L•••no longer reported	Hedge Fund	$18.0M	6	Mar 31, 2016
B•••••••• S•• I• L•••no longer reported	Hedge Fund	$11.0M	3	Apr 9, 2013
B•••••••• S•• I•• L•••no longer reported	Other Private Fund	$5.7M	2	Mar 31, 2018
B•••••••• C•••••••• O••••••• F•••• L•••no longer reported	Hedge Fund	$0	0	Mar 27, 2012

Owners and control persons

Schedule A and B, latest filing

M••••••••• J••••• A•••••• · Chairman, President, Ceo And Managing Membercontrol
since 05/1999 · owns 10% to 25%
S••••••••• J•••••• R••••• · Chief Compliance Officer & Chief Operating Officercontrol
since 09/2021 · owns less than 5%
M••••••••• J••••• A•••••• · Chairman, President And Ceocontrol
since 10/1991 · owns 75% or more of L•• C•••••• C•••

Entity owners

B•••••••• C•••••• G••••• L••• · Member
direct · owns 50% to 75%
L•• C•••••• C••• · Gp
indirect · owns 75% or more of B•••••••• C•••••• G••••• L•••
N•••• F•••• C••• · Gp
indirect · owns F of F•••••• P•••••••• L•••
T•• C•••• F••••••••• · LP
indirect · owns 25% to 50% of F•••••• P•••••••• L•••
F•••••• P•••••••• L••• · Member
direct · owns 10% to 25%

Ownership changes

15 Schedule A changes between consecutive filings, latest first

Removed M•••• M••••••••• · Member and Administrative Manager
filing of Mar 1, 2024, against Mar 17, 2023 · owns under 5%
Removed C••••••••• P•••••• J••• · Director of Risk Management control
filing of Mar 1, 2024, against Mar 17, 2023 · owns under 5%
Added J••••• S•••••••• R••••• · Chief Financial Officer & Chief Compliance Officer control
filing of Sep 13, 2021, against Aug 2, 2021 · owns under 5%
Removed L•••• A•••• E••• · Chief Financial Officer & Chief Compliance Officer control
filing of Sep 13, 2021, against Aug 2, 2021 · owns under 5%
Added L•••• A•••• E••• · Chief Financial Officer & Chief Compliance Officer control
filing of Aug 2, 2021, against Mar 30, 2021 · owns under 5%

12 latest of 15 changes

Removed S•••• L• E•••• · CFO & CCO
filing of Aug 2, 2021, against Mar 30, 2021 · owns under 5%
Added M•••• M••••••••• · Member and Administrative Manager
filing of Mar 30, 2021, against Jan 29, 2021 · owns under 5%
Removed J•••• L••••• L••••••• · Member control
filing of Mar 30, 2021, against Jan 29, 2021 · owns under 5%
Added S•••• L• E•••• · CFO & CCO
filing of Jan 29, 2021, against Mar 30, 2020 · owns under 5%
Added C••••••••• P•••••• J••• · Director of Risk Management control
filing of Mar 30, 2020, against Mar 29, 2019 · owns under 5%
Removed G••••• H••••• W• I•• · Director of Research
filing of Mar 30, 2020, against Mar 29, 2019 · owns 5 to 10%
Added G••••• H••••• W• I•• · Director of Research
filing of Mar 31, 2018, against Apr 19, 2017 · owns 5 to 10%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 21 fund-person rows in all

Name	Where	Funds	Filings	Named
J•••• A• M•••••••••executive officer	New York, NY	4	25	Aug 10, 2020 to Nov 13, 2025
L• B•••••••• C•••••••• I••••••••• L••entityexecutive officerpromoter	New York, NY	3	6	Aug 10, 2020
A• B•••••••• C•••••••• I••••••••• L••entityexecutive officer	New York, NY	2	18	Dec 21, 2020 to Nov 13, 2025
J•••• L• L•••••executive officer	New York, NY	2	6	Aug 10, 2020
L• B•••••••• C•••••••• M••••••••• L••entitypromoter	New York, NY	2	5	Aug 10, 2020
J•••• A• L•••••executive officer	New York, NY	1	13	Dec 21, 2020
J••••• A• S••••••••executive officer	New York, NY	1	4	Dec 3, 2021 to Nov 27, 2024
S•••• A• L•executive officer	New York, NY	1	1	Nov 13, 2025

All 13 peoplenamed on the most funds first, then filings

Name	Where	Funds	Filings	Named
A••••• E••• V•••director	Zurich, V8	1	1	n/a
B•••••••• C•••••••• M••••••••• L••entityexecutive officer	New York, NY	1	1	n/a
G•• E••• P•••••••director	Zurich, V8	1	1	n/a
N•••••• V•••• G•• L•••entitypromoter	Zurich, V8	1	1	n/a
S•••••••• A• C•••••••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 13 here); every other name is as filed and is not joined to anyone.

13F holdings

quarter ended Jun 30, 2026, filed Aug 12, 2026

Reported value: $142M+15.5% on Mar 31, 2026 ($123M)reportedsec.gov
Positions: 9 in 9 issuers+12.5% on the quarterreported
Concentration: top 10 issuers 100%, largest 21%derivedlargest: Macys Inc
Filed as: B•••••••• C•••••••• M••••••••• L••reportedmatched by the 13F filer reports this CRD

Related persons

Schedule D 7.A

B•••••••• C•••••••• M••••••••• L••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Mar 31, 2026
custody of client assets (Item 9.A): no on the filing of 2025-09-19, yes on the filing of 2026-03-31
peers: asset managers, $100M to $500M (1,568)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 3 to 1
Sep 19, 2025 to Mar 31, 2026
Advisory employees · 4 to 5
Sep 19, 2025 to Mar 31, 2026
Advisory activities · 3 to 1
Sep 19, 2025 to Mar 31, 2026
Corporate clients · 2.0 to unset
Sep 19, 2025 to Mar 31, 2026
Assets in custody · unset to 172902278.0
Sep 19, 2025 to Mar 31, 2026

Full history · 80 changes

Custody of client assets · false to true
Sep 19, 2025 to Mar 31, 2026
Employees · 8 to 9
Sep 19, 2025 to Mar 31, 2026
Discretionary RAUM · $146M to $173M
Sep 19, 2025 to Mar 31, 2026
Non-discretionary RAUM · $1.0M to $0
Sep 19, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $145M to $173M
Sep 19, 2025 to Mar 31, 2026
RAUM · $147M to $173M
Sep 19, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 19, 2025 to Jun 18, 2025
Accounts · 4 to 3
Mar 1, 2024 to Mar 19, 2025
Corporate clients · 3 to 2
Mar 1, 2024 to Mar 19, 2025
Employees · 7 to 8
Mar 1, 2024 to Mar 19, 2025
Discretionary RAUM · $146M to $146M
Mar 1, 2024 to Mar 19, 2025
Non-discretionary RAUM · $529,122 to $1.0M
Mar 1, 2024 to Mar 19, 2025
Pooled vehicle RAUM · $144M to $145M
Mar 1, 2024 to Mar 19, 2025
RAUM · $147M to $147M
Mar 1, 2024 to Mar 19, 2025
Employees · 6 to 7
Mar 17, 2023 to Mar 1, 2024
Discretionary RAUM · $127M to $146M
Mar 17, 2023 to Mar 1, 2024
Non-discretionary RAUM · $876,197 to $529,122
Mar 17, 2023 to Mar 1, 2024
Pooled vehicle RAUM · $125M to $144M
Mar 17, 2023 to Mar 1, 2024
RAUM · $128M to $147M
Mar 17, 2023 to Mar 1, 2024
Assets in custody · 143374722.0 to unset
Mar 4, 2022 to Mar 17, 2023
Custody of client assets · true to false
Mar 4, 2022 to Mar 17, 2023
Discretionary RAUM · $146M to $127M
Mar 4, 2022 to Mar 17, 2023
Non-discretionary RAUM · $2.0M to $876,197
Mar 4, 2022 to Mar 17, 2023
Pooled vehicle RAUM · $143M to $125M
Mar 4, 2022 to Mar 17, 2023
RAUM · $148M to $128M
Mar 4, 2022 to Mar 17, 2023
Assets in custody · $118M to $143M
Sep 13, 2021 to Mar 4, 2022
Discretionary RAUM · $120M to $146M
Sep 13, 2021 to Mar 4, 2022
Non-discretionary RAUM · $4.6M to $2.0M
Sep 13, 2021 to Mar 4, 2022
Pooled vehicle RAUM · $118M to $143M
Sep 13, 2021 to Mar 4, 2022
RAUM · $124M to $148M
Sep 13, 2021 to Mar 4, 2022
Advisory employees · 3 to 4
Jan 29, 2021 to Mar 30, 2021
Assets in custody · $95.7M to $118M
Jan 29, 2021 to Mar 30, 2021
Discretionary RAUM · $96.6M to $120M
Jan 29, 2021 to Mar 30, 2021
Non-discretionary RAUM · $3.9M to $4.6M
Jan 29, 2021 to Mar 30, 2021
Pooled vehicle RAUM · $95.7M to $118M
Jan 29, 2021 to Mar 30, 2021
RAUM · $101M to $124M
Jan 29, 2021 to Mar 30, 2021
Accounts · 5 to 4
Mar 29, 2019 to Mar 30, 2020
Corporate clients · 1 to 3
Mar 29, 2019 to Mar 30, 2020
HNW clients · 2.0 to unset
Mar 29, 2019 to Mar 30, 2020
Assets in custody · $112M to $95.7M
Mar 29, 2019 to Mar 30, 2020
Employees · 7 to 6
Mar 29, 2019 to Mar 30, 2020
Private funds · 2 to 1
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $108M to $96.6M
Mar 29, 2019 to Mar 30, 2020
HNW RAUM · 3121338.0 to unset
Mar 29, 2019 to Mar 30, 2020
Non-discretionary RAUM · $12.6M to $3.9M
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $106M to $95.7M
Mar 29, 2019 to Mar 30, 2020
RAUM · $120M to $101M
Mar 29, 2019 to Mar 30, 2020
Accounts · 7 to 5
Mar 31, 2018 to Mar 29, 2019
Corporate clients · unset to 1.0
Mar 31, 2018 to Mar 29, 2019
HNW clients · unset to 2.0
Mar 31, 2018 to Mar 29, 2019
Assets in custody · $114M to $112M
Mar 31, 2018 to Mar 29, 2019
Discretionary RAUM · $112M to $108M
Mar 31, 2018 to Mar 29, 2019
HNW RAUM · $4.0M to $3.1M
Mar 31, 2018 to Mar 29, 2019
Non-discretionary RAUM · $13.4M to $12.6M
Mar 31, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $108M to $106M
Mar 31, 2018 to Mar 29, 2019
RAUM · $125M to $120M
Mar 31, 2018 to Mar 29, 2019
Accounts · 8 to 7
Apr 19, 2017 to Mar 31, 2018
Advisory employees · 4 to 3
Apr 19, 2017 to Mar 31, 2018
Pooled vehicle clients · unset to 1.0
Apr 19, 2017 to Mar 31, 2018
Assets in custody · $120M to $114M
Apr 19, 2017 to Mar 31, 2018
Employees · 8 to 7
Apr 19, 2017 to Mar 31, 2018
Other offices · unset to 0.0
Apr 19, 2017 to Mar 31, 2018
Private funds · 1 to 2
Apr 19, 2017 to Mar 31, 2018
Discretionary RAUM · $123M to $112M
Apr 19, 2017 to Mar 31, 2018
HNW RAUM · unset to 4005226.0
Apr 19, 2017 to Mar 31, 2018
Non-discretionary RAUM · $10.5M to $13.4M
Apr 19, 2017 to Mar 31, 2018
Pooled vehicle RAUM · unset to 108399076.0
Apr 19, 2017 to Mar 31, 2018
RAUM · $133M to $125M
Apr 19, 2017 to Mar 31, 2018
Accounts · 7 to 8
Mar 31, 2016 to Mar 31, 2017
Assets in custody · $96.2M to $120M
Mar 31, 2016 to Mar 31, 2017
Employees · 7 to 8
Mar 31, 2016 to Mar 31, 2017
Private funds · 2 to 1
Mar 31, 2016 to Mar 31, 2017
Discretionary RAUM · $116M to $123M
Mar 31, 2016 to Mar 31, 2017
Non-discretionary RAUM · $8.0M to $10.5M
Mar 31, 2016 to Mar 31, 2017
RAUM · $124M to $133M
Mar 31, 2016 to Mar 31, 2017

Signals

15 dated events

••• Locked
Mar 31, 2026 · Control person joined · fact
••• Locked
Mar 31, 2026 · Control person left · inference
••• Locked
Mar 31, 2026 · ria indirect owner change · derived
••• Locked
Mar 31, 2026 · ria indirect owner change · derived
••• Locked
Mar 31, 2026 · ria principal change · derived

Full timeline · 15 events

••• Locked
Mar 31, 2026 · ria principal change · fact
••• Locked
Mar 31, 2026 · ria ownership band change · fact
••• Locked
Mar 1, 2024 · Control person left · inference
••• Locked
Sep 13, 2021 · Control person left · inference
••• Locked
Sep 13, 2021 · Control person joined · fact
••• Locked
Aug 2, 2021 · Control person joined · fact
••• Locked
Mar 30, 2021 · Control person left · inference
••• Locked
Mar 30, 2020 · Control person joined · fact
••• Locked
Sep 21, 2012 · ria registration change · fact
••• Locked
Sep 13, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1) · the addresses open with an account

3 earlier addresses on Form ADV filings, the earliest seen Apr 9, 2013

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 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.