DFX Intelligence

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B•••••••• C•••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered5 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $1.4B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.4B
Advisors: 0
RAUM change, 1 year: +30%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-04-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+29.7%
RAUM, one year
RAUM $1.06B to $1.37B (+29.7%) on the Form ADV filed 27 Apr 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 170245 · SEC 801-79074 · 31 filingsShow

CRD 170245SEC 801-79074First filing on the tape Jan 8, 2014, latest Apr 27, 2026SEC status approved since Jan 17, 2014IAPD

RAUM

$1.4B

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

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM +22% a year over three years · the tape starts Jan 8, 2014

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

RAUM$1.4B as of Apr 27, 2026

Mar 25, 2015$76.7M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 27, 2026

Mar 25, 20150 then

Employees (5.A)15 as of Apr 27, 2026

Mar 25, 20153 then

Private funds5 as of Apr 27, 2026

Mar 25, 20151 then

RAUM +30% over the last fiscal year+22% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 27, 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: $229MderivedRAUM 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: +30%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
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)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$1.4B100%

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: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a 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

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

Fund	Type	Gross assets	Owners	First reported
B•••••••• C•••••• P••••••• L•	Hedge Fund	$1.2B	195	Jan 8, 2014
D••• R•••• C•••••• L•	Other Private Fund	$63.8M	10	Mar 29, 2021
D••••••• S••••• P••••••• L•	Other Private Fund	$39.7M	10	Apr 27, 2026
C••••••• R•••• P••••••• L•	Other Private Fund	$29.7M	5	Apr 27, 2026
M•••••••• C•••••• L•	Other Private Fund	$2.3M	23	Mar 27, 2023

Owners and control persons

Schedule A and B, latest filing

M••••••••• A•••• · Cio / Managing Member / Portfolio Managercontrol
since 12/2013 · owns 75% or more
S•••••••• M••••• A•••••• · Chief Financial Officer / Chief Compliance Officercontrol
since 11/2015 · owns less than 5%
P••••••••• R•••••••• R••• · Managing Membercontrol
since 10/2014 · owns 75% or more of I••••• L••

Entity owners

I••••• L•• · Member
direct · owns 5% to 10%

Related persons

Schedule D 7.A

B•••••••• C•••••• P••••••• G• L••
bankpooled vehicle sponsorn
B• S•••• A•••• L•••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 5 to 6
Apr 28, 2025 to Mar 27, 2026
Advisory employees · 9 to 10
Apr 28, 2025 to Mar 27, 2026
Pooled vehicle clients · 5 to 6
Apr 28, 2025 to Mar 27, 2026
Employees · 12 to 15
Apr 28, 2025 to Mar 27, 2026
Private funds · 4 to 5
Apr 28, 2025 to Mar 27, 2026

Full history · 77 changes

Discretionary RAUM · $1.1B to $1.4B
Apr 28, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $1.1B to $1.4B
Apr 28, 2025 to Mar 27, 2026
RAUM · $1.1B to $1.4B
Apr 28, 2025 to Mar 27, 2026
Accounts · 4 to 5
Mar 27, 2024 to Apr 28, 2025
Pooled vehicle clients · 4 to 5
Mar 27, 2024 to Apr 28, 2025
Employees · 11 to 12
Mar 27, 2024 to Apr 28, 2025
Financial planning clients · unset to
Mar 27, 2024 to Apr 28, 2025
Private funds · 3 to 4
Mar 27, 2024 to Apr 28, 2025
Discretionary RAUM · $884M to $1.1B
Mar 27, 2024 to Apr 28, 2025
Pooled vehicle RAUM · $884M to $1.1B
Mar 27, 2024 to Apr 28, 2025
RAUM · $884M to $1.1B
Mar 27, 2024 to Apr 28, 2025
Advisory employees · 10 to 9
Nov 1, 2023 to Mar 27, 2024
Employees · 12 to 11
Nov 1, 2023 to Mar 27, 2024
Discretionary RAUM · $765M to $884M
Nov 1, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $765M to $884M
Nov 1, 2023 to Mar 27, 2024
RAUM · $765M to $884M
Nov 1, 2023 to Mar 27, 2024
Accounts · 3 to 4
Mar 30, 2022 to Mar 27, 2023
Advisory employees · 8 to 10
Mar 30, 2022 to Mar 27, 2023
Pooled vehicle clients · 3 to 4
Mar 30, 2022 to Mar 27, 2023
Employees · 10 to 12
Mar 30, 2022 to Mar 27, 2023
Private funds · 2 to 3
Mar 30, 2022 to Mar 27, 2023
Discretionary RAUM · $796M to $765M
Mar 30, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $796M to $765M
Mar 30, 2022 to Mar 27, 2023
RAUM · $796M to $765M
Mar 30, 2022 to Mar 27, 2023
Accounts · 2 to 3
Nov 2, 2021 to Mar 30, 2022
Advisory employees · 7 to 8
Nov 2, 2021 to Mar 30, 2022
Pooled vehicle clients · 2 to 3
Nov 2, 2021 to Mar 30, 2022
Employees · 9 to 10
Nov 2, 2021 to Mar 30, 2022
Discretionary RAUM · $569M to $796M
Nov 2, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $569M to $796M
Nov 2, 2021 to Mar 30, 2022
RAUM · $569M to $796M
Nov 2, 2021 to Mar 30, 2022
Accounts · 1 to 2
Mar 27, 2020 to Mar 29, 2021
Pooled vehicle clients · 1 to 2
Mar 27, 2020 to Mar 29, 2021
Private funds · 1 to 2
Mar 27, 2020 to Mar 29, 2021
Discretionary RAUM · $362M to $569M
Mar 27, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $362M to $569M
Mar 27, 2020 to Mar 29, 2021
RAUM · $362M to $569M
Mar 27, 2020 to Mar 29, 2021
Advisory employees · 6 to 7
Apr 30, 2019 to Mar 27, 2020
Employees · 8 to 9
Apr 30, 2019 to Mar 27, 2020
Discretionary RAUM · $280M to $362M
Apr 30, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $280M to $362M
Apr 30, 2019 to Mar 27, 2020
RAUM · $280M to $362M
Apr 30, 2019 to Mar 27, 2020
Employees · 7 to 8
Jun 25, 2018 to Mar 28, 2019
Discretionary RAUM · $257M to $280M
Jun 25, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $257M to $280M
Jun 25, 2018 to Mar 28, 2019
RAUM · $257M to $280M
Jun 25, 2018 to Mar 28, 2019
Advisory employees · 3 to 6
Apr 21, 2017 to Mar 30, 2018
Pooled vehicle clients · unset to 1.0
Apr 21, 2017 to Mar 30, 2018
Employees · 4 to 7
Apr 21, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Apr 21, 2017 to Mar 30, 2018
Discretionary RAUM · $155M to $257M
Apr 21, 2017 to Mar 30, 2018
Pooled vehicle RAUM · unset to 256628881.0
Apr 21, 2017 to Mar 30, 2018
RAUM · $155M to $257M
Apr 21, 2017 to Mar 30, 2018
Related bank · false to true
Apr 21, 2017 to Mar 30, 2018
Advisory employees · 2 to 3
Aug 5, 2016 to Mar 24, 2017
Assets in custody · 102019067.0 to unset
Aug 5, 2016 to Mar 24, 2017
Custody of client assets · true to false
Aug 5, 2016 to Mar 24, 2017
Employees · 3 to 4
Aug 5, 2016 to Mar 24, 2017
Discretionary RAUM · $102M to $155M
Aug 5, 2016 to Mar 24, 2017
RAUM · $102M to $155M
Aug 5, 2016 to Mar 24, 2017
Advisory employees · 1 to 2
Jan 13, 2016 to Mar 24, 2016
Assets in custody · unset to 102019067.0
Jan 13, 2016 to Mar 24, 2016
Custody of client assets · false to true
Jan 13, 2016 to Mar 24, 2016
Discretionary RAUM · $76.7M to $102M
Jan 13, 2016 to Mar 24, 2016
RAUM · $76.7M to $102M
Jan 13, 2016 to Mar 24, 2016
Employees · 2 to 3
Nov 20, 2014 to Mar 25, 2015
Discretionary RAUM · $60.6M to $76.7M
Nov 20, 2014 to Mar 25, 2015
RAUM · $60.6M to $76.7M
Nov 20, 2014 to Mar 25, 2015
Accounts · unset to 1.0
Jan 8, 2014 to May 16, 2014
Discretionary RAUM · unset to 60567000.0
Jan 8, 2014 to May 16, 2014
Non-discretionary RAUM · unset to 0.0
Jan 8, 2014 to May 16, 2014
RAUM · unset to 60567000.0
Jan 8, 2014 to May 16, 2014

Signals

8 dated events

••• Locked
Apr 27, 2026 · private fund first reported · fact
••• Locked
Apr 27, 2026 · private fund gav change · fact
••• Locked
Apr 27, 2026 · private fund first reported · fact
••• Locked
Mar 27, 2026 · RAUM change · derived
••• Locked
Mar 30, 2022 · RAUM change · derived

Full timeline · 8 events

••• Locked
Mar 29, 2021 · RAUM change · derived
••• Locked
Mar 30, 2018 · RAUM change · derived
••• Locked
Jan 8, 2014 · 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Apr 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 27, 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.