DFX Intelligence

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Asset manager (funds and pooled vehicles)SEC-registered3 private fundsUmbrella registration· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $432M 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: $432M
Advisors: 0
RAUM change, 1 year: +5.2%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

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

What matters now

+5.2%
RAUM, one year
RAUM $410M to $432M (+5.2%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 161833 · SEC 801-74328 · 18 filingsShow

CRD 161833SEC 801-74328First filing on the tape Feb 16, 2012, latest Mar 30, 2026SEC status approved since Mar 30, 2012IAPD

RAUM

$432M

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

18 filings and snapshots on the tape

RAUM +7.2% a year over three years · the tape starts Feb 16, 2012

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

RAUM$432M as of Mar 30, 2026

Apr 1, 2013$769M then

HNW client RAUM: no history

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

Apr 1, 20130 then

Employees (5.A)8 as of Mar 30, 2026

Apr 1, 20138 then

Private funds3 as of Mar 30, 2026

Apr 1, 20133 then

RAUM +5.2% over the last fiscal year+7.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $144MderivedRAUM 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: +5.2%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: $432M, 3 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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$432M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $432M for 3 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

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

Fund	Type	Gross assets	Owners	First reported
F••••••• A••••••••• L••	Hedge Fund	$258M	128	Feb 16, 2012
F••••••• M••••• F••• L•	Hedge Fund	$121M	24	Mar 29, 2024
F••••••• R••••••••• L••••••	Hedge Fund	$91.9M	30	Feb 16, 2012
F••••••• F••••••••• F••• L••	Hedge Fund	$52.1M	12	Feb 16, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• T•••••• P••• · Co-Chief Executive Officer And Managing Directorcontrol
since 09/2000 · owns 50% to 75%
F••••• D••••• B•••• · Co-Chief Executive Officer, Managing Director And Chief Compliance Officercontrol
since 09/2000 · owns 50% to 75%
R••••• S••••••• K••••• · Chief Financial Officer
since 10/2016 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $410M to $432M
Mar 31, 2025 to Mar 30, 2026
Discretionary RAUM · $410M to $432M
Mar 31, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $410M to $432M
Mar 31, 2025 to Mar 30, 2026
RAUM · $410M to $432M
Mar 31, 2025 to Mar 30, 2026
Assets in custody · $403M to $410M
Mar 29, 2024 to Mar 31, 2025

Full history · 66 changes

Financial planning clients · unset to
Mar 29, 2024 to Mar 31, 2025
Discretionary RAUM · $403M to $410M
Mar 29, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $403M to $410M
Mar 29, 2024 to Mar 31, 2025
RAUM · $403M to $410M
Mar 29, 2024 to Mar 31, 2025
Advisory employees · 6 to 5
Mar 31, 2023 to Mar 29, 2024
Assets in custody · $350M to $403M
Mar 31, 2023 to Mar 29, 2024
Discretionary RAUM · $350M to $403M
Mar 31, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $350M to $403M
Mar 31, 2023 to Mar 29, 2024
RAUM · $350M to $403M
Mar 31, 2023 to Mar 29, 2024
Assets in custody · $455M to $350M
Mar 30, 2022 to Mar 31, 2023
Discretionary RAUM · $455M to $350M
Mar 30, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $455M to $350M
Mar 30, 2022 to Mar 31, 2023
RAUM · $455M to $350M
Mar 30, 2022 to Mar 31, 2023
Assets in custody · $449M to $455M
May 18, 2021 to Mar 30, 2022
Discretionary RAUM · $449M to $455M
May 18, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $449M to $455M
May 18, 2021 to Mar 30, 2022
RAUM · $449M to $455M
May 18, 2021 to Mar 30, 2022
Assets in custody · $557M to $449M
Mar 30, 2020 to Mar 30, 2021
Discretionary RAUM · $557M to $449M
Mar 30, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $557M to $449M
Mar 30, 2020 to Mar 30, 2021
RAUM · $557M to $449M
Mar 30, 2020 to Mar 30, 2021
Advisory employees · 7 to 6
Mar 29, 2019 to Mar 30, 2020
Assets in custody · $583M to $557M
Mar 29, 2019 to Mar 30, 2020
Employees · 9 to 8
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $583M to $557M
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $583M to $557M
Mar 29, 2019 to Mar 30, 2020
RAUM · $583M to $557M
Mar 29, 2019 to Mar 30, 2020
Assets in custody · $694M to $583M
Mar 29, 2018 to Mar 29, 2019
Discretionary RAUM · $694M to $583M
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $694M to $583M
Mar 29, 2018 to Mar 29, 2019
RAUM · $694M to $583M
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle clients · unset to 3.0
Mar 31, 2017 to Mar 29, 2018
Assets in custody · $671M to $694M
Mar 31, 2017 to Mar 29, 2018
Financial planning clients · 0 to unset
Mar 31, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Mar 29, 2018
Discretionary RAUM · $671M to $694M
Mar 31, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 693879427.0
Mar 31, 2017 to Mar 29, 2018
RAUM · $671M to $694M
Mar 31, 2017 to Mar 29, 2018
Advisory employees · 6 to 7
Mar 29, 2016 to Mar 31, 2017
Assets in custody · $637M to $671M
Mar 29, 2016 to Mar 31, 2017
Financial planning clients · 1-10 to 0
Mar 29, 2016 to Mar 31, 2017
Discretionary RAUM · $637M to $671M
Mar 29, 2016 to Mar 31, 2017
RAUM · $637M to $671M
Mar 29, 2016 to Mar 31, 2017
Assets in custody · $900M to $637M
Mar 31, 2015 to Mar 29, 2016
Discretionary RAUM · $900M to $637M
Mar 31, 2015 to Mar 29, 2016
RAUM · $900M to $637M
Mar 31, 2015 to Mar 29, 2016
Assets in custody · $853M to $900M
Mar 31, 2014 to Mar 31, 2015
Employees · 8 to 9
Mar 31, 2014 to Mar 31, 2015
Financial planning clients · unset to 1-10
Mar 31, 2014 to Mar 31, 2015
Discretionary RAUM · $853M to $900M
Mar 31, 2014 to Mar 31, 2015
RAUM · $853M to $900M
Mar 31, 2014 to Mar 31, 2015
Assets in custody · $769M to $853M
Apr 1, 2013 to Mar 31, 2014
Discretionary RAUM · $769M to $853M
Apr 1, 2013 to Mar 31, 2014
RAUM · $769M to $853M
Apr 1, 2013 to Mar 31, 2014
Advisory employees · unset to 6.0
Sep 6, 2012 to Apr 1, 2013
BD registered reps · unset to 0.0
Sep 6, 2012 to Apr 1, 2013
Assets in custody · $666M to $769M
Sep 6, 2012 to Apr 1, 2013
Employees · unset to 8.0
Sep 6, 2012 to Apr 1, 2013
State-registered IARs · unset to 0.0
Sep 6, 2012 to Apr 1, 2013
Discretionary RAUM · $666M to $769M
Sep 6, 2012 to Apr 1, 2013
RAUM · $666M to $769M
Sep 6, 2012 to Apr 1, 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.

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

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.