DFX Intelligence

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S•• H••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· Great Neck, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in Great Neck, New York, reporting $427M 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: $427M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: -6.2%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

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

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2
Also held on 1 other DFX graph, matched on shared identifiers.
Graphs 1

Every filed figure, and the identifiersCRD 161490 · SEC 801-100439 · 19 filingsShow

CRD 161490SEC 801-100439First filing on the tape Jun 22, 2015, latest Mar 30, 2026SEC status approved since Jul 1, 2015IAPD

RAUM

$427M

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

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$427M as of Mar 30, 2026

Mar 28, 2016$241M then

HNW client RAUM: no history

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

Mar 28, 20160 then

Employees (5.A)13 as of Mar 30, 2026

Mar 28, 201611 then

Private funds2 as of Mar 30, 2026

Mar 28, 20161 then

RAUM -6.2% over the last fiscal year+4.4% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $214MderivedRAUM 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: -6.2%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: $427M, 2 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)
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

Pooled investment vehicles$427M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $427M for 2 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=false 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
W• F•••••••• F•••• L•	Hedge Fund	$417M	678	Mar 22, 2012
A••••••••• O••••••••• F•••• L•	Real Estate Fund	$10.1M	108	Mar 28, 2017
C••••• H••• O•• L••no longer reported	Real Estate Fund	$4.8M	24	Mar 27, 2020

Owners and control persons

Schedule A and B, latest filing

H•••••• D••••• M••• · Manager/Membercontrol
since 04/2007 · owns 25% to 50%
W••••••• A•••• M•••••• · Member/Chief Financial Officer/Chief Compliance Officercontrol
since 01/2014 · owns 5% to 10%
W•••••• G••••• X•••••• · Manager/Membercontrol
since 04/2007 · owns 25% to 50%
S•••••••• J•••••• A••• · Member
since 08/2017 · owns 5% to 10%

Related persons

Schedule D 7.A

A••••••••• O••••••••• G•• L••
pooled vehicle sponsorn
W• F•••••••• G•• L••
pooled vehicle sponsorn
W••••• • C•••••• E••••• F•••••• C•••••••••
investment companyn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $455M to $427M
Mar 26, 2025 to Mar 30, 2026
Discretionary RAUM · $455M to $427M
Mar 26, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $455M to $427M
Mar 26, 2025 to Mar 30, 2026
RAUM · $455M to $427M
Mar 26, 2025 to Mar 30, 2026
Assets in custody · unset to 455227097.0
Mar 29, 2024 to Mar 26, 2025
Custody of client assets · false to true
Mar 29, 2024 to Mar 26, 2025
Financial planning clients · unset to
Mar 29, 2024 to Mar 26, 2025
Discretionary RAUM · $448M to $455M
Mar 29, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $448M to $455M
Mar 29, 2024 to Mar 26, 2025
RAUM · $448M to $455M
Mar 29, 2024 to Mar 26, 2025
Discretionary RAUM · $375M to $448M
Mar 28, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $375M to $448M
Mar 28, 2023 to Mar 29, 2024
RAUM · $375M to $448M
Mar 28, 2023 to Mar 29, 2024
Accounts · 3 to 2
Mar 18, 2022 to Mar 28, 2023
Advisory employees · 7 to 9
Mar 18, 2022 to Mar 28, 2023
Pooled vehicle clients · 3 to 2
Mar 18, 2022 to Mar 28, 2023
Employees · 11 to 13
Mar 18, 2022 to Mar 28, 2023
Private funds · 3 to 2
Mar 18, 2022 to Mar 28, 2023
Discretionary RAUM · $364M to $375M
Mar 18, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $364M to $375M
Mar 18, 2022 to Mar 28, 2023
RAUM · $364M to $375M
Mar 18, 2022 to Mar 28, 2023
Discretionary RAUM · $387M to $364M
Mar 24, 2021 to Mar 18, 2022
Pooled vehicle RAUM · $387M to $364M
Mar 24, 2021 to Mar 18, 2022
RAUM · $387M to $364M
Mar 24, 2021 to Mar 18, 2022
Employees · 12 to 11
May 5, 2020 to Mar 24, 2021
Discretionary RAUM · $345M to $387M
May 5, 2020 to Mar 24, 2021
Pooled vehicle RAUM · $345M to $387M
May 5, 2020 to Mar 24, 2021
RAUM · $345M to $387M
May 5, 2020 to Mar 24, 2021
Accounts · 2 to 3
Mar 22, 2019 to Mar 27, 2020
Pooled vehicle clients · 2 to 3
Mar 22, 2019 to Mar 27, 2020
Private funds · 2 to 3
Mar 22, 2019 to Mar 27, 2020
Discretionary RAUM · $370M to $345M
Mar 22, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $370M to $345M
Mar 22, 2019 to Mar 27, 2020
RAUM · $370M to $345M
Mar 22, 2019 to Mar 27, 2020
Advisory employees · 6 to 7
Apr 26, 2018 to Mar 22, 2019
Employees · 11 to 12
Apr 26, 2018 to Mar 22, 2019
Discretionary RAUM · $325M to $370M
Apr 26, 2018 to Mar 22, 2019
Pooled vehicle RAUM · $325M to $370M
Apr 26, 2018 to Mar 22, 2019
RAUM · $325M to $370M
Apr 26, 2018 to Mar 22, 2019
Discretionary RAUM · $297M to $325M
Mar 16, 2018 to Apr 26, 2018

Signals

1 dated events

••• Locked
Jun 22, 2015 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

S•• H••••• C•••••• M••••••••• L•• · Venture Capital
shared crd · organization

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

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

Across the graphs

S•• H••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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