DFX Intelligence
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A•••• C•••••• M••••••••• L••
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $887M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $887M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -5.0%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 167227 · SEC 801-100431 · 19 filingsShowHide
CRD 167227SEC 801-100431First filing on the tape Jun 19, 2015, latest Mar 26, 2026SEC status approved since Jun 25, 2015IAPD
RAUM
$887M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$887M as of Mar 26, 2026
Mar 24, 2016$292M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 24, 20160 then
Employees (5.A)9 as of Mar 26, 2026
Mar 24, 20166 then
Private funds3 as of Mar 26, 2026
Mar 24, 20163 then
RAUM -5.0% over the last fiscal year-3.6% 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
- $148MderivedRAUM 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
- -5.0%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
- $607M, 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)
- 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)
- 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
- Pooled investment vehicles$887M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $607M for 3 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• C•••••• P••••••• L• | Hedge Fund | $479M | 86 | Mar 27, 2013 |
| T•• O••••• M••••• P•••••••• L•••••• | Hedge Fund | $280M | 115 | Jun 19, 2015 |
| A•••• O••••••• M••••• F•••• L••• | Hedge Fund | $128M | 38 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• B••••••• S••• · Managing Membercontrolsince 02/2013 · owns 75% or more
- V••••• A••• N•• · Chief Financial Officer / Chief Compliance Officercontrolsince 02/2019 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $643M to $607MMar 27, 2025 to Mar 26, 2026
- Employees · 8 to 9Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $934M to $887MMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $934M to $887MMar 27, 2025 to Mar 26, 2026
- RAUM · $934M to $887MMar 27, 2025 to Mar 26, 2026
- Assets in custody · $539M to $643MMar 25, 2024 to Mar 27, 2025
- Employees · 9 to 8Mar 25, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $841M to $934MMar 25, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $841M to $934MMar 25, 2024 to Mar 27, 2025
- RAUM · $841M to $934MMar 25, 2024 to Mar 27, 2025
- Advisory employees · 8 to 5Mar 21, 2023 to Mar 25, 2024
- Assets in custody · $989M to $539MMar 21, 2023 to Mar 25, 2024
- Employees · 11 to 9Mar 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $989M to $841MMar 21, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $989M to $841MMar 21, 2023 to Mar 25, 2024
- RAUM · $989M to $841MMar 21, 2023 to Mar 25, 2024
- Advisory employees · 6 to 8Dec 20, 2022 to Mar 21, 2023
- Assets in custody · $1.5B to $989MDec 20, 2022 to Mar 21, 2023
- Employees · 9 to 11Dec 20, 2022 to Mar 21, 2023
- Discretionary RAUM · $1.5B to $989MDec 20, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $1.5B to $989MDec 20, 2022 to Mar 21, 2023
- RAUM · $1.5B to $989MDec 20, 2022 to Mar 21, 2023
- Other offices · 0 to 1Mar 28, 2022 to Dec 20, 2022
- Advisory employees · 8 to 6Dec 8, 2021 to Mar 28, 2022
- Assets in custody · $1.4B to $1.5BDec 8, 2021 to Mar 28, 2022
- Employees · 11 to 9Dec 8, 2021 to Mar 28, 2022
- Other offices · 1 to 0Dec 8, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.4B to $1.5BDec 8, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.4B to $1.5BDec 8, 2021 to Mar 28, 2022
- RAUM · $1.4B to $1.5BDec 8, 2021 to Mar 28, 2022
- Accounts · 3 to 6Mar 30, 2020 to Mar 16, 2021
- Advisory employees · 3 to 8Mar 30, 2020 to Mar 16, 2021
- Pooled vehicle clients · 3 to 6Mar 30, 2020 to Mar 16, 2021
- Assets in custody · $658M to $1.4BMar 30, 2020 to Mar 16, 2021
- Employees · 5 to 11Mar 30, 2020 to Mar 16, 2021
- Other offices · 0 to 1Mar 30, 2020 to Mar 16, 2021
- Discretionary RAUM · $658M to $1.4BMar 30, 2020 to Mar 16, 2021
- Pooled vehicle RAUM · $658M to $1.4BMar 30, 2020 to Mar 16, 2021
- RAUM · $658M to $1.4BMar 30, 2020 to Mar 16, 2021
Signals
7 dated events
- ••• LockedMar 21, 2023 · RAUM change · derived
- ••• LockedMar 16, 2021 · RAUM change · derived
- ••• LockedMar 30, 2020 · RAUM change · derived
- ••• LockedMar 28, 2019 · RAUM change · derived
- ••• LockedFeb 20, 2019 · Control person joined · fact
- ••• LockedFeb 20, 2019 · Control person left · inference
- ••• LockedJun 19, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
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