DFX Intelligence
RIA Intelligence
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SEC-registered adviser
U•••• S••••• P••• C•••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Jun 29, 2021 · 9 filings
SEC status approved since Jul 29, 2021
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$154M as of Mar 23, 2026
Mar 31, 2022$297M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 31, 20220 then
Employees (5.A)2 as of Mar 23, 2026
Mar 31, 20224 then
Private funds1 as of Mar 23, 2026
Mar 31, 20221 then
RAUM -2.7% over the last fiscal year-6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- $154MderivedRAUM 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
- -2.7%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 vehiclesreportedItem 5.G
- Custody
- $154M, 1 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)
- 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
- Pooled investment vehicles$154M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $154M for 1 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=true 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U•••• S••••• P••• P•••••••• L• | Hedge Fund | $159M | 28 | Apr 13, 2015 |
| U•••• S••••• P••• P••••••• O•••••••• L••no longer reported | Hedge Fund | $25,271 | 0 | Feb 9, 2016 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• E•••••• N•• · Chief Compliance Officer, Chief Financial Officercontrolsince 06/2021 · owns less than 5%
- Z•••••••• L•••• M•••••• · Managing Membercontrolsince 11/2011 · owns 75% or more
Related persons
Schedule D 7.A
- U•••• S••••• P••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $159M to $154MMar 24, 2025 to Mar 23, 2026
- Employees · 4 to 2Mar 24, 2025 to Mar 23, 2026
- Discretionary RAUM · $159M to $154MMar 24, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $159M to $154MMar 24, 2025 to Mar 23, 2026
- RAUM · $159M to $154MMar 24, 2025 to Mar 23, 2026
- Assets in custody · $159M to $159MJun 14, 2024 to Mar 24, 2025
- Employees · 3 to 4Jun 14, 2024 to Mar 24, 2025
- Financial planning clients · unset to Jun 14, 2024 to Mar 24, 2025
- Discretionary RAUM · $159M to $159MJun 14, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $159M to $159MJun 14, 2024 to Mar 24, 2025
- RAUM · $159M to $159MJun 14, 2024 to Mar 24, 2025
- RAUM · $188M to $159MMar 30, 2023 to Mar 28, 2024
- Assets in custody · $188M to $159MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $188M to $159MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $188M to $159MMar 30, 2023 to Mar 28, 2024
- Advisory employees · 3 to 2Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $297M to $188MMar 31, 2022 to Mar 30, 2023
- Employees · 4 to 3Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $297M to $188MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $297M to $188MMar 31, 2022 to Mar 30, 2023
- RAUM · $297M to $188MMar 31, 2022 to Mar 30, 2023
- Assets in custody · $266M to $297MOct 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $266M to $297MOct 1, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $266M to $297MOct 1, 2021 to Mar 31, 2022
- RAUM · $266M to $297MOct 1, 2021 to Mar 31, 2022
- Private funds · 2 to 1Jun 29, 2021 to Sep 2, 2021
Signals
2 dated events
- U•••• S••••• P••• C•••••• M••••••••• L•• reported RAUM $188.4M, down 37% from $297.2M (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- U•••• S••••• P••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- U•••• S••••• P••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/unionsquareparkcapitalreportedpublic record, Form ADV, Sep 21, 2026
- Website
- u••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (347) 514-6126reportedpublic record, Form ADV, Mar 23, 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