DFX Intelligence

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C••••••• C•••••• 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 $102M of regulatory assets.

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

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $102M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: -23%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -23% over the last fiscal year, to $102M.
2026-03-26
RAUM a year earlier $133MRAUM now $102M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 161451 · SEC 801-73902 · 18 filingsShow

CRD 161451SEC 801-73902First filing on the tape Feb 14, 2012, latest Mar 26, 2026SEC status approved since Mar 30, 2012IAPD

RAUM

$102M

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

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$102M as of Mar 26, 2026

Nov 26, 2013$609M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Nov 26, 20130 then

Employees (5.A)6 as of Mar 26, 2026

Nov 26, 201312 then

Private funds1 as of Mar 26, 2026

Nov 26, 20132 then

RAUM -23% over the last fiscal year-30% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $50.9MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -23%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: $102M, 5 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

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)
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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$102M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $102M for 5 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
C••••••• M••••• L•	Hedge Fund	$102M	2	Feb 14, 2012
C••••••• S•••••• 2• M••••• L•no longer reported	Hedge Fund	$10.9M	32	Mar 31, 2015
C••••••• S••• L••no longer reported	Hedge Fund	$2.1M	2	Nov 26, 2013

Owners and control persons

Schedule A and B, latest filing

H••••••• R•••••• B• · Head Trader / Chief Risk Officer / Principalcontrol
since 08/2012 · owns less than 5%
M••• J••••• A• · Chief Executive Officer / Chief Investment Officer / Principalcontrol
since 11/2010 · owns 75% or more
M••• J••••• A• · Managing Membercontrol
since 11/2010 · owns 75% or more of C••• L••
B•••••• J••• R•••••• · Chief Operating Officer / Chief Compliance Officer / Chief Financial Officer / Principal
since 11/2011 · owns less than 5%
D• S••••• J• C• · Principal / Head Of Marketing
since 02/2011 · owns less than 5%

Entity owners

C••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

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

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 5 to 2
Mar 25, 2025 to Mar 26, 2026
Advisory employees · 5 to 4
Mar 25, 2025 to Mar 26, 2026
Pooled vehicle clients · 5 to 2
Mar 25, 2025 to Mar 26, 2026
Assets in custody · $79.5M to $102M
Mar 25, 2025 to Mar 26, 2026
Employees · 8 to 6
Mar 25, 2025 to Mar 26, 2026
Financial planning clients · to 1-10
Mar 25, 2025 to Mar 26, 2026
Discretionary RAUM · $133M to $102M
Mar 25, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $133M to $102M
Mar 25, 2025 to Mar 26, 2026
RAUM · $133M to $102M
Mar 25, 2025 to Mar 26, 2026
Assets in custody · $143M to $79.5M
Mar 13, 2024 to Mar 25, 2025
Financial planning clients · unset to
Mar 13, 2024 to Mar 25, 2025
Discretionary RAUM · $164M to $133M
Mar 13, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $164M to $133M
Mar 13, 2024 to Mar 25, 2025
RAUM · $164M to $133M
Mar 13, 2024 to Mar 25, 2025
Related bank · false to true
Mar 13, 2024 to Mar 25, 2025
Assets in custody · $211M to $143M
Mar 29, 2023 to Mar 13, 2024
Discretionary RAUM · $301M to $164M
Mar 29, 2023 to Mar 13, 2024
Pooled vehicle RAUM · $301M to $164M
Mar 29, 2023 to Mar 13, 2024
RAUM · $301M to $164M
Mar 29, 2023 to Mar 13, 2024
Advisory employees · 6 to 5
Sep 22, 2022 to Mar 29, 2023
Employees · 9 to 8
Sep 22, 2022 to Mar 29, 2023
Discretionary RAUM · $262M to $301M
Sep 22, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $262M to $301M
Sep 22, 2022 to Mar 29, 2023
RAUM · $262M to $301M
Sep 22, 2022 to Mar 29, 2023
Accounts · 4 to 5
Feb 15, 2021 to Feb 25, 2022
Pooled vehicle clients · 4 to 5
Feb 15, 2021 to Feb 25, 2022
Assets in custody · $171M to $211M
Feb 15, 2021 to Feb 25, 2022
Discretionary RAUM · $177M to $262M
Feb 15, 2021 to Feb 25, 2022
Pooled vehicle RAUM · $177M to $262M
Feb 15, 2021 to Feb 25, 2022
RAUM · $177M to $262M
Feb 15, 2021 to Feb 25, 2022
Accounts · 7 to 4
Feb 5, 2020 to Feb 15, 2021
Pooled vehicle clients · 7 to 4
Feb 5, 2020 to Feb 15, 2021
Assets in custody · $177M to $171M
Feb 5, 2020 to Feb 15, 2021
Private funds · 2 to 1
Feb 5, 2020 to Feb 15, 2021
Discretionary RAUM · $182M to $177M
Feb 5, 2020 to Feb 15, 2021
Pooled vehicle RAUM · $182M to $177M
Feb 5, 2020 to Feb 15, 2021
RAUM · $182M to $177M
Feb 5, 2020 to Feb 15, 2021
Advisory employees · 7 to 6
Feb 27, 2019 to Feb 5, 2020
Assets in custody · $206M to $177M
Feb 27, 2019 to Feb 5, 2020
Employees · 11 to 9
Feb 27, 2019 to Feb 5, 2020

Signals

5 dated events

••• Locked
Mar 26, 2026 · private fund gav change · fact
••• Locked
Mar 26, 2026 · ria private fund assets change · fact
••• Locked
Mar 13, 2024 · RAUM change · derived
••• Locked
Feb 5, 2020 · RAUM change · derived
••• Locked
Feb 27, 2019 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 26, 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