DFX Intelligence

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Former SEC-registered adviser

N••• C••••••• C•••••• M••••••••• L••

Former SEC-registered adviserShort Hills, New JerseyCRD 165807SEC 801-77299IAPD

Latest filing Mar 10, 2016

First filing on the tape Oct 22, 2012 · 6 filings

RAUM

$411M

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

7 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$411M gross assets

History

6 filings and snapshots on the tape

RAUM$411M as of Mar 10, 2016

Mar 28, 2013$831M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 10, 2016

Mar 28, 20130 then

Employees (5.A)15 as of Mar 10, 2016

Mar 28, 201313 then

Private funds1 as of Mar 10, 2016

Mar 28, 20131 then

RAUM -76% over the last fiscal year-21% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 10, 2016; 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: $34.2MderivedRAUM 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: -76%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
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)
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

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: 12reported
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

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

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

Fund	Type	Gross assets	Owners	First reported
N••• C••••••• S••••••••• M••••• F••• L••	Hedge Fund	$411M	0	Mar 28, 2013

Owners and control persons

Schedule A and B, latest filing

K•• C•••• •••• · Managing Member/Chief Executive Officer/Chief Compliance Officercontrol
since 03/2012 · owns less than 5%
R••• Y•••••• •••• · Chief Technology Officercontrol
since 03/2012 · owns 10% to 25%
K•• C•••• •••• · Membercontrol
since 03/2012 · owns 50% to 75% of C•••• F••••••••• L••
Y•• Y••• •••• · Trusteecontrol
since 03/2012 · owns 50% to 75% of C••• K• F••••• T••••
Z•••• Q••••••• •••• · Ownercontrol
since 03/2012 · owns 75% or more of H••••• G•••• L••••••

Entity owners

C•••• F••••••••• L•• · Owner
direct · owns 50% to 75%
H••••• G•••• L•••••• · Owner
direct · owns 25% to 50%
C••• K• F••••• T•••• · Member
indirect · owns 50% to 75% of C•••• F••••••••• L••

Related persons

Schedule D 7.A

N••• C••••••• C•••••• G• L••
investment adviserpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 8 to 7
Mar 27, 2015 to Mar 10, 2016
Employees · 22 to 15
Mar 27, 2015 to Mar 10, 2016
Discretionary RAUM · $1.7B to $411M
Mar 27, 2015 to Mar 10, 2016
RAUM · $1.7B to $411M
Mar 27, 2015 to Mar 10, 2016
Accounts · 8 to 12
Oct 8, 2014 to Mar 27, 2015
Advisory employees · 7 to 8
Oct 8, 2014 to Mar 27, 2015
Employees · 20 to 22
Oct 8, 2014 to Mar 27, 2015
Discretionary RAUM · $1.5B to $1.7B
Oct 8, 2014 to Mar 27, 2015
RAUM · $1.5B to $1.7B
Oct 8, 2014 to Mar 27, 2015
Employees · 19 to 20
Mar 27, 2014 to Oct 8, 2014
Accounts · 7 to 8
Mar 28, 2013 to Mar 27, 2014
Advisory employees · 5 to 7
Mar 28, 2013 to Mar 27, 2014
Employees · 13 to 19
Mar 28, 2013 to Mar 27, 2014
Discretionary RAUM · $831M to $1.5B
Mar 28, 2013 to Mar 27, 2014
RAUM · $831M to $1.5B
Mar 28, 2013 to Mar 27, 2014
Accounts · 0 to 7
Oct 22, 2012 to Mar 28, 2013
Advisory employees · unset to 5.0
Oct 22, 2012 to Mar 28, 2013
BD registered reps · unset to 0.0
Oct 22, 2012 to Mar 28, 2013
Employees · unset to 13.0
Oct 22, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Oct 22, 2012 to Mar 28, 2013
Private funds · unset to 1
Oct 22, 2012 to Mar 28, 2013
Discretionary RAUM · $0 to $831M
Oct 22, 2012 to Mar 28, 2013
RAUM · $0 to $831M
Oct 22, 2012 to Mar 28, 2013
Related adviser · false to true
Oct 22, 2012 to Mar 28, 2013

Signals

1 dated events

••• Locked
Oct 22, 2012 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

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

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: Former SEC-registered adviserderiveda 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