DFX Intelligence

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D••••• C••••••• L••

Other adviserSEC-registered2 private funds· New York, New York

Other adviser, based in New York, New York, reporting $76.6M of regulatory assets.

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

As of 2026-08-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $76.6M
Advisors: 0
RAUM change, 1 year: +0.6%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-08-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+0.6%
RAUM, one year
RAUM $76.2M to $76.6M (+0.6%) on the Form ADV filed 27 Aug 2026, while offices fell 1 to 0.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 172648 · SEC 801-122859 · 12 filingsShow

CRD 172648SEC 801-122859First filing on the tape Nov 11, 2021, latest Aug 27, 2026SEC status approved since Dec 15, 2021IAPD

RAUM

$76.6M

reported, Item 5.F

Discretionary

45%

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

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM -9.9% a year over three years · the tape starts Nov 11, 2021

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

RAUM$76.6M as of Aug 27, 2026

Mar 18, 2022$148M then

HNW client RAUM: no history

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

Mar 18, 20220 then

Employees (5.A)3 as of Aug 27, 2026

Mar 18, 20222 then

Private funds2 as of Aug 27, 2026

Mar 18, 20222 then

RAUM +0.6% over the last fiscal year-9.9% a year over threeIARs 0 to 0offices 1 to 0

Practice profile

derived from the filing of Aug 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: $19.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 45%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: +0.6%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $29.6M, 2 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)
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)
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

61% corporations and businesses, 39% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow

Corporations and businesses$47.0M61%
Pooled investment vehicles$29.6M39%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $29.6M for 2 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 39% pooled funds, 0% institutions; no related broker-dealer; no 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

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

Fund	Type	Gross assets	Owners	First reported
D••••• C•••••• F•••• L•	Hedge Fund	$18.4M	22	Aug 25, 2014
D••••• C•••••• O••••••• F•••• L••no longer reported	Hedge Fund	$17.9M	6	Aug 25, 2014
D••••• S•••••• O••••••••• F•••• L•	Hedge Fund	$11.3M	16	Mar 30, 2018

Owners and control persons

Schedule A and B, latest filing

B••••••••• M••• · Manager, Member, Portfolio Managercontrol
since 02/2013 · owns 50% to 75%
L••••••• M••••••• C•••••• · Manager, Member, Chief Operating Officer, Chief Compliance Officercontrol
since 02/2013 · owns 50% to 75%

Related persons

Schedule D 7.A

D••••• C•••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

discretionary share shiftChange between filings · filing Apr 9, 2026
discretionary share of RAUM moved from 100.0% to 45.0% between the annual amendments of 2025-03-20 and 2026-04-09
peers: other advisers, under $100M (660)

How anomalies are measured

What changed

consecutive filings, newest first

Advisory employees · 2 to 1
Jul 10, 2025 to Mar 23, 2026
Corporate clients · unset to 2.0
Jul 10, 2025 to Mar 23, 2026
Assets in custody · $34.4M to $29.6M
Jul 10, 2025 to Mar 23, 2026
Discretionary RAUM · $76.2M to $34.6M
Jul 10, 2025 to Mar 23, 2026
Non-discretionary RAUM · $0 to $42.0M
Jul 10, 2025 to Mar 23, 2026

Full history · 33 changes

Pooled vehicle RAUM · $34.4M to $29.6M
Jul 10, 2025 to Mar 23, 2026
RAUM · $76.2M to $76.6M
Jul 10, 2025 to Mar 23, 2026
Financial planning clients · unset to
Mar 20, 2025 to Jul 10, 2025
HQ city · MIAMI to NEW YORK
Mar 20, 2025 to Jul 10, 2025
HQ state · FL to NY
Mar 20, 2025 to Jul 10, 2025
Other offices · 1 to 0
Mar 20, 2025 to Jul 10, 2025
Corporate clients · 1.0 to unset
Jul 11, 2024 to Mar 20, 2025
Pooled vehicle clients · 3 to 2
Jul 11, 2024 to Mar 20, 2025
Assets in custody · $53.8M to $34.4M
Jul 11, 2024 to Mar 20, 2025
Employees · 2 to 3
Jul 11, 2024 to Mar 20, 2025
Discretionary RAUM · $82.5M to $76.2M
Jul 11, 2024 to Mar 20, 2025
Pooled vehicle RAUM · $57.3M to $34.4M
Jul 11, 2024 to Mar 20, 2025
RAUM · $82.5M to $76.2M
Jul 11, 2024 to Mar 20, 2025
Accounts · 5 to 4
Mar 30, 2023 to Mar 26, 2024
Corporate clients · 2 to 1
Mar 30, 2023 to Mar 26, 2024
Assets in custody · $72.3M to $53.8M
Mar 30, 2023 to Mar 26, 2024
Discretionary RAUM · $105M to $82.5M
Mar 30, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $72.3M to $57.3M
Mar 30, 2023 to Mar 26, 2024
RAUM · $105M to $82.5M
Mar 30, 2023 to Mar 26, 2024
Assets in custody · $98.1M to $72.3M
Mar 18, 2022 to Mar 30, 2023
Discretionary RAUM · $148M to $105M
Mar 18, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $104M to $72.3M
Mar 18, 2022 to Mar 30, 2023
RAUM · $148M to $105M
Mar 18, 2022 to Mar 30, 2023
Assets in custody · $86.4M to $98.1M
Nov 11, 2021 to Mar 18, 2022
Private funds · 4 to 2
Nov 11, 2021 to Mar 18, 2022
Discretionary RAUM · $132M to $148M
Nov 11, 2021 to Mar 18, 2022
Pooled vehicle RAUM · $92.4M to $104M
Nov 11, 2021 to Mar 18, 2022
RAUM · $132M to $148M
Nov 11, 2021 to Mar 18, 2022

Signals

8 dated events

••• Locked
Aug 27, 2026 · Control person left · inference
••• Locked
Aug 27, 2026 · ria majority owner change · derived
••• Locked
Aug 27, 2026 · ria ownership band change · fact
••• Locked
Aug 27, 2026 · ria office closed · derived
••• Locked
Aug 27, 2026 · ria principal change · derived

Full timeline · 8 events

••• Locked
Jul 10, 2025 · ria hq relocated · fact
••• Locked
Mar 18, 2022 · ria registration change · fact
••• Locked
Nov 11, 2021 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 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: Other adviserderiveda 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

Across the graphs

D••••• C••••••• L•• is the same institution as 1 record in Allocators.

Allocators1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.