DFX Intelligence

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E•••• R•••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $257M of regulatory assets.

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

As of 2013-03-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $257M
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2013-03-22 · 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 161402 · SEC 801-73577 · 3 filingsShow

CRD 161402SEC 801-73577First filing on the tape Feb 14, 2012, latest Mar 22, 2013IAPD

RAUM

$257M

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

3 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$389M gross assets

History

3 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 14, 2012

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

RAUM$257M as of Mar 22, 2013

Feb 14, 2012$192M then

HNW client RAUM: no history

State-registered IARs (5.B.3): 0

Employees (5.A): 6

Private funds3 as of Mar 22, 2013

Feb 14, 20123 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 22, 2013; 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: $85.8MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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
E•••• R•••• C••••• A•• E•••• M••••• F••• L•••	Hedge Fund	$257M	4	Feb 14, 2012
E•••• R•••• C••••• A•• E•••• F••• L•••	Hedge Fund	$108M	6	Feb 14, 2012
E•••• R•••• C••••• A•• E•••• F••• L•	Hedge Fund	$22.8M	11	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

B••••• J•••••••• J•••• · Chief Operating Officer And Membercontrol
since 10/2010 · owns 10% to 25%
E•••• B•••••••• J•••• · Portfolio Manager And Membercontrol
since 10/2010 · owns 10% to 25%
M•••••• J••••• J••••• · Portfolio Manager And Membercontrol
since 10/2010 · owns 10% to 25%
P•••••••• M••••••• J•••• · Chief Executive Officer And Managing Membercontrol
since 10/2010 · owns 50% to 75%
S•••• S•••••• R•••• · Chief Financial Officer And Chief Compliance Officer
since 04/2011 · owns less than 5%

Related persons

Schedule D 7.A

E•••• R•••• A•••• A••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · unset to 3.0
Apr 5, 2012 to Mar 22, 2013
Advisory activities · 2 to 1
Apr 5, 2012 to Mar 22, 2013
BD registered reps · unset to 0.0
Apr 5, 2012 to Mar 22, 2013
Employees · unset to 6.0
Apr 5, 2012 to Mar 22, 2013
State-registered IARs · unset to 0.0
Apr 5, 2012 to Mar 22, 2013

Full history · 8 changes

Discretionary RAUM · $192M to $257M
Apr 5, 2012 to Mar 22, 2013
RAUM · $192M to $257M
Apr 5, 2012 to Mar 22, 2013
Related bank · false to true
Apr 5, 2012 to Mar 22, 2013

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda 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