DFX Intelligence

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A••••• A•••••••• L••

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

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $294M of regulatory assets.

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

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $294M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, 2 control persons joined and 2 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 161643 · SEC 801-73872 · 42 filingsShow

CRD 161643SEC 801-73872First filing on the tape Feb 14, 2012, latest Mar 27, 2026SEC status approved since Mar 30, 2012IAPD

RAUM

$294M

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

17 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

42 filings and snapshots on the tape

RAUM +7.0% a year over three years · the tape starts Feb 14, 2012

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

RAUM$294M as of Mar 27, 2026

Mar 27, 2013$4.8B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 27, 20130 then

Employees (5.A)30 as of Mar 27, 2026

Mar 27, 201326 then

Private funds1 as of Mar 27, 2026

Mar 27, 20131 then

RAUM n/a over the last fiscal year+7.0% a year over three

Practice profile

derived from the filing of Mar 27, 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: $147MderivedRAUM 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: 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
Custody: $294M, 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

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$294M100%

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: $294M for 2 clientsreported
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

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

Fund	Type	Gross assets	Owners	First reported
A••••• I••••••••• H••••••• •••• L•••	Hedge Fund	$294M	3	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

K••••• E•••• N•• · Director Of Operations And Financecontrol
since 12/2023 · owns less than 5%
P••••••• B•••••••• D•••••• · Chief Compliance Officer / Chief Operating Officer / General Counselcontrol
since 09/2012 · owns less than 5%
S•••••• C••••••••• J•••• · Chief Research Officercontrol
since 01/2020 · owns less than 5%
S•••••• J•••• P••• · Vice Presidentcontrol
since 04/2010 · owns less than 5%
S••••••• A••••• M••••• · Manager And Chairmancontrol
since 08/2001 · owns 75% or more

Related persons

Schedule D 7.A

A••••• E••••• H•••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

, 1 employee
New York, NY

What changed

consecutive filings, newest first

Advisory employees · 15 to 17
Sep 16, 2025 to Mar 27, 2026
Assets in custody · $274M to $294M
Sep 16, 2025 to Mar 27, 2026
Employees · 28 to 30
Sep 16, 2025 to Mar 27, 2026
Other offices · 2 to 1
Sep 16, 2025 to Mar 27, 2026
Discretionary RAUM · $274M to $294M
Sep 16, 2025 to Mar 27, 2026

Full history · 80 changes

Pooled vehicle RAUM · $274M to $294M
Sep 16, 2025 to Mar 27, 2026
RAUM · $274M to $294M
Sep 16, 2025 to Mar 27, 2026
Advisory employees · 13 to 15
May 30, 2024 to May 1, 2025
Assets in custody · $265M to $274M
May 30, 2024 to May 1, 2025
Financial planning clients · unset to
May 30, 2024 to May 1, 2025
Discretionary RAUM · $265M to $274M
May 30, 2024 to May 1, 2025
Pooled vehicle RAUM · $265M to $274M
May 30, 2024 to May 1, 2025
RAUM · $265M to $274M
May 30, 2024 to May 1, 2025
Advisory employees · 12 to 13
Dec 26, 2023 to Mar 26, 2024
Assets in custody · $240M to $265M
Dec 26, 2023 to Mar 26, 2024
Employees · 27 to 28
Dec 26, 2023 to Mar 26, 2024
Discretionary RAUM · $240M to $265M
Dec 26, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $240M to $265M
Dec 26, 2023 to Mar 26, 2024
RAUM · $240M to $265M
Dec 26, 2023 to Mar 26, 2024
Accounts · 3 to 2
Aug 23, 2022 to Mar 28, 2023
Advisory employees · 13 to 12
Aug 23, 2022 to Mar 28, 2023
Pooled vehicle clients · 3 to 2
Aug 23, 2022 to Mar 28, 2023
Assets in custody · $440M to $240M
Aug 23, 2022 to Mar 28, 2023
Employees · 25 to 27
Aug 23, 2022 to Mar 28, 2023
Other offices · 0 to 2
Aug 23, 2022 to Mar 28, 2023
Discretionary RAUM · $440M to $240M
Aug 23, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $440M to $240M
Aug 23, 2022 to Mar 28, 2023
RAUM · $440M to $240M
Aug 23, 2022 to Mar 28, 2023
Assets in custody · $440M to $440M
Mar 30, 2022 to May 5, 2022
Discretionary RAUM · $440M to $440M
Mar 30, 2022 to May 5, 2022
Pooled vehicle RAUM · $440M to $440M
Mar 30, 2022 to May 5, 2022
RAUM · $440M to $440M
Mar 30, 2022 to May 5, 2022
Advisory employees · 14 to 13
Jun 7, 2021 to Mar 30, 2022
Assets in custody · $535M to $440M
Jun 7, 2021 to Mar 30, 2022
Employees · 26 to 25
Jun 7, 2021 to Mar 30, 2022
Discretionary RAUM · $535M to $440M
Jun 7, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $535M to $440M
Jun 7, 2021 to Mar 30, 2022
RAUM · $535M to $440M
Jun 7, 2021 to Mar 30, 2022
Advisory employees · 17 to 14
Oct 16, 2020 to Mar 30, 2021
Assets in custody · $639M to $535M
Oct 16, 2020 to Mar 30, 2021
Employees · 30 to 26
Oct 16, 2020 to Mar 30, 2021
Discretionary RAUM · $639M to $535M
Oct 16, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $639M to $535M
Oct 16, 2020 to Mar 30, 2021
RAUM · $639M to $535M
Oct 16, 2020 to Mar 30, 2021
Assets in custody · $3.0B to $639M
Jul 22, 2020 to Oct 16, 2020
Discretionary RAUM · $3.0B to $639M
Jul 22, 2020 to Oct 16, 2020
Pooled vehicle RAUM · $3.0B to $639M
Jul 22, 2020 to Oct 16, 2020
RAUM · $3.0B to $639M
Jul 22, 2020 to Oct 16, 2020
Advisory employees · 16 to 17
Oct 25, 2019 to Mar 27, 2020
Assets in custody · $3.0B to $3.0B
Oct 25, 2019 to Mar 27, 2020
Employees · 28 to 30
Oct 25, 2019 to Mar 27, 2020
Discretionary RAUM · $3.0B to $3.0B
Oct 25, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $3.0B to $3.0B
Oct 25, 2019 to Mar 27, 2020
RAUM · $3.0B to $3.0B
Oct 25, 2019 to Mar 27, 2020
Advisory employees · 19 to 16
Jan 18, 2019 to Mar 22, 2019
Assets in custody · $4.3B to $3.0B
Jan 18, 2019 to Mar 22, 2019
Employees · 32 to 28
Jan 18, 2019 to Mar 22, 2019
Discretionary RAUM · $4.3B to $3.0B
Jan 18, 2019 to Mar 22, 2019
Pooled vehicle RAUM · $4.3B to $3.0B
Jan 18, 2019 to Mar 22, 2019
RAUM · $4.3B to $3.0B
Jan 18, 2019 to Mar 22, 2019
Advisory employees · 16 to 19
Sep 7, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 3.0
Sep 7, 2017 to Mar 29, 2018
Assets in custody · $3.7B to $4.3B
Sep 7, 2017 to Mar 29, 2018
Employees · 30 to 32
Sep 7, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Sep 7, 2017 to Mar 29, 2018
Discretionary RAUM · $3.7B to $4.3B
Sep 7, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 4340853000.0
Sep 7, 2017 to Mar 29, 2018
RAUM · $3.7B to $4.3B
Sep 7, 2017 to Mar 29, 2018
Accounts · 4 to 3
Mar 29, 2016 to Mar 27, 2017
Advisory employees · 19 to 16
Mar 29, 2016 to Mar 27, 2017
BD registered reps · 8 to 0
Mar 29, 2016 to Mar 27, 2017
Assets in custody · $4.2B to $3.7B
Mar 29, 2016 to Mar 27, 2017
Employees · 32 to 30
Mar 29, 2016 to Mar 27, 2017
Discretionary RAUM · $4.2B to $3.7B
Mar 29, 2016 to Mar 27, 2017
RAUM · $4.2B to $3.7B
Mar 29, 2016 to Mar 27, 2017
Related broker-dealer · true to false
Mar 29, 2016 to Mar 27, 2017
Advisory employees · 18 to 19
Mar 27, 2015 to Mar 29, 2016
Assets in custody · $4.3B to $4.2B
Mar 27, 2015 to Mar 29, 2016
Employees · 31 to 32
Mar 27, 2015 to Mar 29, 2016
Discretionary RAUM · $4.3B to $4.2B
Mar 27, 2015 to Mar 29, 2016

Signals

20 dated events

••• Locked
Mar 27, 2026 · ria principal change · derived
••• Locked
Mar 27, 2026 · Control person left · inference
••• Locked
Mar 27, 2026 · Control person left · inference
••• Locked
Mar 27, 2026 · Control person joined · fact
••• Locked
Mar 27, 2026 · Control person joined · fact

Full timeline · 20 events

••• Locked
Mar 27, 2026 · ria office closed · derived
••• Locked
Mar 27, 2026 · ria principal change · derived
••• Locked
May 30, 2024 · Control person left · inference
••• Locked
Dec 26, 2023 · Control person left · inference
••• Locked
Dec 26, 2023 · Control person joined · fact
••• Locked
Mar 28, 2023 · RAUM change · derived
••• Locked
Oct 16, 2020 · RAUM change · derived
••• Locked
Oct 16, 2020 · Control person left · inference
••• Locked
Jul 22, 2020 · Control person joined · fact
••• Locked
Mar 27, 2020 · Control person joined · fact
••• Locked
May 30, 2019 · Control person left · inference
••• Locked
Mar 22, 2019 · RAUM change · derived
••• Locked
Jan 18, 2019 · Control person left · inference
••• Locked
Jan 18, 2019 · Control person joined · fact
••• Locked
Jan 18, 2019 · Control person left · inference

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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 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, RAUM change, 1 year.