DFX Intelligence

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SEC-registered adviser

A•• D•••••• F••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 171847SEC 801-80044website IAPD

Latest filing Jun 9, 2026

First filing on the tape Jun 30, 2014 · 35 filings

SEC status approved since Jul 29, 2014

RAUM

$426M

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

35 filings and snapshots on the tape

RAUM$426M as of Jun 9, 2026

Mar 31, 2015$32.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 9, 2026

Mar 31, 20150 then

Employees (5.A)10 as of Jun 9, 2026

Mar 31, 20153 then

Private funds2 as of Jun 9, 2026

Mar 29, 20161 then

RAUM -19% over the last fiscal year-4.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 9, 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: $60.9MderivedRAUM 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: -28%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody: $167M, 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)
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)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$259M61%
Pooled investment vehicles$167M39%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 7reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $167M 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=5.0derived

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

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

Fund	Type	Gross assets	Owners	First reported
A•• D•••••• M••••••••• F••• L•	Hedge Fund	$18.0M	17	Jul 10, 2023
A•• M••••••••• B•••••• P•••••••• F••• L•no longer reported	Hedge Fund	$0	0	Jun 1, 2015

Owners and control persons

Schedule A and B, latest filing

L••••• T••••• · Chief Executive Officer And Managercontrol
since 03/2015 · owns 10% to 25%
L••••• T••••• · Managercontrol
since 02/2010 · owns 50% to 75% of A•• M••••••••• L••
S••••••• D••••• R•••••• · Membercontrol
since 01/2015 · owns 25% to 50% of A•• M••••••••• L••
G••••• J•••• H•••• · Chief Operating Officer
since 02/2021 · owns less than 5%

Entity owners

A•• M••••••••• L•• · Member
direct · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

private fund count surgeChange between filings · filing Mar 30, 2026
private funds (Schedule D 7.B.1) moved from 2.0 to 4.0 (+100.0%) between the annual amendments of 2025-04-10 and 2026-03-30; the peer median change was 0.0% (732 comparable advisers, 99.0th percentile of changes)
peers: asset managers, $100M to $500M (732) · 99% percentile
RAUM down 25 %Change between filings · filing Mar 30, 2026
RAUM (Item 5.F) moved from $526,850,731 to $381,891,655 (-28.0%) between the annual amendments of 2025-04-10 and 2026-03-30; the peer median change was +4.0% (1145 comparable advisers, 9.0th percentile of changes)
peers: asset managers, $100M to $500M (1,145) · 9.4% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 9 to 7
Mar 30, 2026 to Jun 9, 2026
Pooled vehicle clients · 6 to 4
Mar 30, 2026 to Jun 9, 2026
Assets in custody · $126M to $167M
Mar 30, 2026 to Jun 9, 2026
Private funds · 4 to 2
Mar 30, 2026 to Jun 9, 2026
Discretionary RAUM · $382M to $426M
Mar 30, 2026 to Jun 9, 2026
Pooled vehicle RAUM · $126M to $167M
Mar 30, 2026 to Jun 9, 2026
RAUM · $382M to $426M
Mar 30, 2026 to Jun 9, 2026
Accounts · 8 to 9
Apr 10, 2025 to Mar 30, 2026
Advisory employees · 4 to 3
Apr 10, 2025 to Mar 30, 2026
BD registered reps · 3 to 5
Apr 10, 2025 to Mar 30, 2026
Pooled vehicle clients · 5 to 6
Apr 10, 2025 to Mar 30, 2026
Assets in custody · $81.8M to $126M
Apr 10, 2025 to Mar 30, 2026
Employees · 9 to 10
Apr 10, 2025 to Mar 30, 2026
Private funds · 2 to 4
Apr 10, 2025 to Mar 30, 2026
Discretionary RAUM · $527M to $382M
Apr 10, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $81.8M to $126M
Apr 10, 2025 to Mar 30, 2026
RAUM · $527M to $382M
Apr 10, 2025 to Mar 30, 2026
Accounts · 7 to 8
Mar 29, 2024 to Apr 10, 2025
Advisory employees · 3 to 4
Mar 29, 2024 to Apr 10, 2025
BD registered reps · 4 to 3
Mar 29, 2024 to Apr 10, 2025
Pooled vehicle clients · 4 to 5
Mar 29, 2024 to Apr 10, 2025
Assets in custody · $93.3M to $81.8M
Mar 29, 2024 to Apr 10, 2025
Employees · 10 to 9
Mar 29, 2024 to Apr 10, 2025
Financial planning clients · unset to
Mar 29, 2024 to Apr 10, 2025
Private funds · 1 to 2
Mar 29, 2024 to Apr 10, 2025
Discretionary RAUM · $516M to $527M
Mar 29, 2024 to Apr 10, 2025
Pooled vehicle RAUM · $93.3M to $81.8M
Mar 29, 2024 to Apr 10, 2025
RAUM · $516M to $527M
Mar 29, 2024 to Apr 10, 2025
Accounts · 6 to 7
Jul 10, 2023 to Mar 29, 2024
Pooled vehicle clients · 3 to 4
Jul 10, 2023 to Mar 29, 2024
Assets in custody · unset to 93309340.0
Jul 10, 2023 to Mar 29, 2024
Custody of client assets · false to true
Jul 10, 2023 to Mar 29, 2024
Discretionary RAUM · $494M to $516M
Jul 10, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $78.3M to $93.3M
Jul 10, 2023 to Mar 29, 2024
RAUM · $494M to $516M
Jul 10, 2023 to Mar 29, 2024
Related bank · true to false
Jul 10, 2023 to Mar 29, 2024
Private funds · unset to 1
Jun 13, 2023 to Jul 10, 2023
BD registered reps · 5 to 4
Mar 29, 2022 to Mar 30, 2023
Employees · 11 to 10
Mar 29, 2022 to Mar 30, 2023
Discretionary RAUM · $961M to $494M
Mar 29, 2022 to Mar 30, 2023

Signals

7 dated events

A•• D•••••• F••••• L•• reported RAUM $381.9M, down 28% from $526.9M (2025-04-10 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
A•• D•••••• F••••• L•• reported RAUM $494.1M, down 49% from $960.5M (2022-03-29 to 2023-03-30)
Mar 30, 2023 · RAUM change · derived
A•• D•••••• F••••• L•• reported RAUM $960.5M, up 37% from $702.5M (2021-06-30 to 2022-03-29)
Mar 29, 2022 · RAUM change · derived
A•• D•••••• F••••• L•• reported RAUM $702.5M, up 25% from $561.1M (2021-03-17 to 2021-06-30)
Jun 30, 2021 · RAUM change · derived
A•• D•••••• F••••• L•• reported RAUM $504.7M, up 50% from $336.0M (2020-08-17 to 2020-12-11)
Dec 11, 2020 · RAUM change · derived
A•• D•••••• F••••• L•• reported RAUM $336.0M, up 185% from $117.9M (2020-03-31 to 2020-08-17)
Aug 17, 2020 · RAUM change · derived
A•• M••••••••• L•• filed its initial SEC registration (Form ADV)
Jun 30, 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: w••.a•••••••.comreportedpublic record, Form ADV, Jun 9, 2026
Principal office phone: 212-918-4664reportedpublic record, Form ADV, Jun 9, 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