DFX Intelligence

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SEC-registered adviser

M•••••• I••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 168091SEC 801-108060website IAPD

Latest filing Apr 29, 2026

First filing on the tape Jun 27, 2016 · 16 filings

SEC status approved since Jul 6, 2016

RAUM

$900M

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

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$900M as of Apr 29, 2026

Mar 14, 2017$305M then

HNW client RAUM$0 as of Feb 27, 2020

Mar 19, 2018$0 then

State-registered IARs (5.B.3)0 as of Apr 29, 2026

Mar 14, 20170 then

Employees (5.A)20 as of Apr 29, 2026

Mar 14, 201715 then

Private funds6 as of Apr 29, 2026

Mar 14, 20173 then

RAUM -22% over the last fiscal year+2.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 29, 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: $150MderivedRAUM 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: -22%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-based, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $693M, 4 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)
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

Pooled investment vehicles$900M100%

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: $693M for 4 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

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

Fund	Type	Gross assets	Owners	First reported
M•••••• I•••• F••• L•••	Hedge Fund	$849M	12	Mar 28, 2014
M•••••• I•••• F•••• L•	Hedge Fund	$626M	73	Mar 28, 2014
M•••••• S••••• F•••	Hedge Fund	$218M	8	Mar 14, 2017
M•••••• S••••• F••• L•	Hedge Fund	$149M	20	Mar 11, 2019
M•••••• S••• L••	Other Private Fund	$9.4M	44	Mar 26, 2022
M•••••• S••• L••	Other Private Fund	$2.6M	5	Mar 16, 2023

Owners and control persons

Schedule A and B, latest filing

B•••••• K••••••• P•••• · Chief Compliance Officercontrol
since 03/2016 · owns less than 5%
L••••••••• S••••• · Managercontrol
since 08/2008 · owns less than 5%
N••••••• R••• · Managercontrol
since 06/2016 · owns less than 5%
N•• N•••••• C••• F• · Managercontrol
since 09/2022 · owns less than 5%
O••••••••• C•••• K•••• · Managercontrol
since 05/2012 · owns less than 5%
B•••••• D••••• J•• · Membercontrol
since 02/2000 · owns 75% or more of R•• V•••••••• L••
O••••••••• C•••• K•••• · Partnercontrol
since 05/2012 · owns 25% to 50% of P• O••••••••• I••••••••• P••••••••• L•
O••••••••• C•••• K•••• · Partnercontrol
since 05/2012 · owns 25% to 50% of O••••••••• I••••••••• P••••••••• L•
S••••••• M•••• M••••••••• · Membercontrol
since 03/2004 · owns 75% or more of H•••••• C•••••• A•••• M••••••••• L••
G•••••• A••••• · Member
since 07/2013 · owns less than 5%
M••••••••• A•••••• V•••• · Member
since 12/2009 · owns 25% to 50%
N••••• S••••• · Member
since 08/2008 · owns 25% to 50%

Entity owners

V•••• P••••••• G•••• L•••••• · Shareholder
indirect · owns 75% or more of V•••• F•••• L••••••
H•••••• C•••••• A•••• M••••••••• L•• · Member
direct · owns 5% to 10%
O••••••••• I••••••••• P••••••••• L• · Member
direct · owns less than 5%
P• O••••••••• I••••••••• P••••••••• L• · Member
direct · owns less than 5%
R•• V•••••••• L•• · Member
direct · owns 5% to 10%
V•••• F•••• L•••••• · Member
direct · owns 5% to 10%

Related persons

Schedule D 7.A

D••••••••• C•••••• M••••••• L••
investment advisern
K•••••• P•••• B•••••
y
M•••••• F••• M••••••• L••
investment advisern
M•••••• I••••••••• A••••••• P•••••• L••••••
investment advisern
S• A• G•••• E•••••••• L••
investment advisern
S•• S••••• E•••••••• L••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $900M to $900M
Mar 10, 2026 to Apr 29, 2026
Pooled vehicle RAUM · $900M to $900M
Mar 10, 2026 to Apr 29, 2026
RAUM · $900M to $900M
Mar 10, 2026 to Apr 29, 2026
Assets in custody · $1.2B to $693M
Apr 25, 2025 to Mar 10, 2026
Employees · 21 to 20
Apr 25, 2025 to Mar 10, 2026
Discretionary RAUM · $1.2B to $900M
Apr 25, 2025 to Mar 10, 2026
Pooled vehicle RAUM · $1.2B to $900M
Apr 25, 2025 to Mar 10, 2026
RAUM · $1.2B to $900M
Apr 25, 2025 to Mar 10, 2026
Advisory employees · 5 to 7
Mar 31, 2024 to Apr 25, 2025
Assets in custody · $1.1B to $1.2B
Mar 31, 2024 to Apr 25, 2025
Employees · 19 to 21
Mar 31, 2024 to Apr 25, 2025
Financial planning clients · unset to
Mar 31, 2024 to Apr 25, 2025
Discretionary RAUM · $1.1B to $1.2B
Mar 31, 2024 to Apr 25, 2025
Pooled vehicle RAUM · $1.1B to $1.2B
Mar 31, 2024 to Apr 25, 2025
RAUM · $1.1B to $1.2B
Mar 31, 2024 to Apr 25, 2025
Advisory employees · 6 to 5
Oct 30, 2023 to Mar 31, 2024
Assets in custody · $828M to $1.1B
Oct 30, 2023 to Mar 31, 2024
Discretionary RAUM · $828M to $1.1B
Oct 30, 2023 to Mar 31, 2024
Pooled vehicle RAUM · $828M to $1.1B
Oct 30, 2023 to Mar 31, 2024
RAUM · $828M to $1.1B
Oct 30, 2023 to Mar 31, 2024
Accounts · 5 to 6
Mar 26, 2022 to Mar 16, 2023
Pooled vehicle clients · 5 to 6
Mar 26, 2022 to Mar 16, 2023
Assets in custody · $1.3B to $828M
Mar 26, 2022 to Mar 16, 2023
Employees · 18 to 19
Mar 26, 2022 to Mar 16, 2023
Private funds · 5 to 6
Mar 26, 2022 to Mar 16, 2023
Discretionary RAUM · $1.3B to $828M
Mar 26, 2022 to Mar 16, 2023
Pooled vehicle RAUM · $1.3B to $828M
Mar 26, 2022 to Mar 16, 2023
RAUM · $1.3B to $828M
Mar 26, 2022 to Mar 16, 2023
Accounts · 4 to 5
Mar 12, 2021 to Mar 26, 2022
Pooled vehicle clients · 4 to 5
Mar 12, 2021 to Mar 26, 2022
Assets in custody · $463M to $1.3B
Mar 12, 2021 to Mar 26, 2022
Employees · 17 to 18
Mar 12, 2021 to Mar 26, 2022
Private funds · 4 to 5
Mar 12, 2021 to Mar 26, 2022
Discretionary RAUM · $730M to $1.3B
Mar 12, 2021 to Mar 26, 2022
Pooled vehicle RAUM · $730M to $1.3B
Mar 12, 2021 to Mar 26, 2022
RAUM · $730M to $1.3B
Mar 12, 2021 to Mar 26, 2022
Charity clients · 0.0 to unset
Feb 27, 2020 to Mar 12, 2021
Corporate clients · 0.0 to unset
Feb 27, 2020 to Mar 12, 2021
HNW clients · 0.0 to unset
Feb 27, 2020 to Mar 12, 2021
Individual clients · 0.0 to unset
Feb 27, 2020 to Mar 12, 2021

Signals

9 dated events

••• Locked
Mar 31, 2024 · RAUM change · derived
••• Locked
Mar 16, 2023 · RAUM change · derived
••• Locked
Mar 16, 2023 · Control person joined · fact
••• Locked
Mar 16, 2023 · Control person left · inference
••• Locked
Mar 26, 2022 · RAUM change · derived
••• Locked
Mar 26, 2022 · Control person joined · fact
••• Locked
Mar 12, 2021 · RAUM change · derived
••• Locked
Mar 19, 2018 · RAUM change · derived
••• Locked
Jun 27, 2016 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

M•••••• I••••••••• L•• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Website: M••••••INVEST.COMreportedpublic record, Form ADV, Apr 29, 2026
Principal office phone: 212-486-6670reportedpublic record, Form ADV, Apr 29, 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