DFX Intelligence

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SEC-registered adviser

A•• M••••••••• L••

Asset manager (funds and pooled vehicles)Los Angeles, CaliforniaCRD 170193SEC 801-128469website IAPD

Latest filing Sep 8, 2026

First filing on the tape Jun 29, 2023 · 10 filings

SEC status approved since Aug 8, 2023

RAUM

$461M

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

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$461M as of Jun 15, 2026

Mar 28, 2024$209M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 15, 2026

Mar 28, 20240 then

Employees (5.A)6 as of Jun 15, 2026

Mar 28, 20246 then

Private funds5 as of Jun 15, 2026

Mar 28, 20243 then

RAUM +94% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Sep 8, 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: $92.3MderivedRAUM 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: +94%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: yesreportedItem 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$461M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 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

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

Fund	Type	Gross assets	Owners	First reported
A•• S••••• S•••••• L••••• C••••• F••• L•	Other Private Fund	$92.0M	31	Mar 31, 2022
A•• P•••••• E••••• P•••••••• L•	Other Private Fund	$89.3M	24	Mar 31, 2022
A•• C•••••• I••••• F•••• L•	Other Private Fund	$26.4M	16	Mar 31, 2023
A••••• O••••• F••• L•no longer reported	Hedge Fund	$150,000	45	Jan 17, 2014

Owners and control persons

Schedule A and B, latest filing

C•••••••• K••••• R• · Chief Operating Officercontrol
since 02/2022 · owns less than 5%
P••••••• J•••••• P• · Managing Member, Chief Investment Officercontrol
since 03/2010 · owns 50% to 75%
T•••• B•••••••• D• · Managing Member, Head Of Researchcontrol
since 03/2010 · owns 50% to 75%

Related persons

Schedule D 7.A

P••••• L••
pooled vehicle sponsorn
S•••• L••
pooled vehicle sponsorn
T•••• L••
pooled vehicle sponsorn
T••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY3 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 30, 2026
RAUM (Item 5.F) moved from $238,202,294 to $461,469,588 (+94.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +4.0% (1145 comparable advisers, 97.0th percentile of changes)
peers: asset managers, $100M to $500M (1,145) · 97% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $67.0M to $0
Jun 15, 2026 to Sep 8, 2026
Financial planning clients · to unset
Jun 15, 2026 to Sep 8, 2026
Private funds · 5 to unset
Jun 15, 2026 to Sep 8, 2026
Succession · false to unset
Jun 15, 2026 to Sep 8, 2026
Accounts · 4 to 5
Nov 12, 2025 to Mar 30, 2026
Pooled vehicle clients · 4 to 5
Nov 12, 2025 to Mar 30, 2026
Assets in custody · $0 to $67.0M
Nov 12, 2025 to Mar 30, 2026
Private funds · 4 to 5
Nov 12, 2025 to Mar 30, 2026
Discretionary RAUM · $238M to $461M
Nov 12, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $238M to $461M
Nov 12, 2025 to Mar 30, 2026
RAUM · $238M to $461M
Nov 12, 2025 to Mar 30, 2026
Financial planning clients · unset to
Mar 28, 2025 to May 19, 2025
Pooled vehicle clients · 3 to 4
Jul 25, 2024 to Mar 28, 2025
Private funds · 3 to 4
Jul 25, 2024 to Mar 28, 2025
Discretionary RAUM · $209M to $238M
Jul 25, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $209M to $238M
Jul 25, 2024 to Mar 28, 2025
RAUM · $209M to $238M
Jul 25, 2024 to Mar 28, 2025
Related adviser · false to true
Jul 25, 2024 to Mar 28, 2025
Other offices · 2 to 1
Jul 1, 2024 to Jul 25, 2024
Private funds · 6 to 3
Jun 29, 2023 to Mar 28, 2024
Discretionary RAUM · $195M to $209M
Jun 29, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $195M to $209M
Jun 29, 2023 to Mar 28, 2024
RAUM · $195M to $209M
Jun 29, 2023 to Mar 28, 2024

Signals

2 dated events

A•• M••••••••• L•• reported RAUM $461.5M, up 94% from $238.2M (2025-11-12 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
A•• M••••••••• L•• filed its initial SEC registration (Form ADV)
Jun 29, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

A•• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider
A•• M••••••••• L•• · Private Equity
shared crd · organization
A•• M••••••••• L•• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/aof-management/aboutreportedpublic record, Form ADV, Sep 8, 2026
Website: w••.a•••••••••.comreportedpublic record, Form ADV, Sep 8, 2026
Principal office phone: (310) 691-1717reportedpublic record, Form ADV, Sep 8, 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