DFX Intelligence

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F•••••••• G••••• I••••••••• I•••

Institutional managerSEC-registered· Purchase, New Yorkwebsite

Institutional manager, based in Purchase, New York, reporting $955M of regulatory assets.

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

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $955M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +5.4%
Private clients: 2.1% of RAUM, $19.7M

Advisors Advisor movement Where the RAUM sits

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 281818 · SEC 801-106799 · 23 filingsShow

CRD 281818SEC 801-106799First filing on the tape Oct 9, 2015, latest Mar 23, 2026SEC status approved since Oct 23, 2015IAPD

RAUM

$955M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

2.1%

$19.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM$955M as of Mar 23, 2026

Mar 30, 2016$25.2M then

HNW client RAUM$19.7M as of Mar 23, 2026

Mar 30, 2018$35.9M then

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 30, 20160 then

Employees (5.A)6 as of Mar 23, 2026

Mar 30, 20163 then

Private funds: no history

RAUM +5.4% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

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: $2.8MderivedHNW RAUM over HNW clients
Average account: $56.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 98%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: +5.4%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 assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$935M98%
High-net-worth individuals$19.7M2.1%

Individual clients: n/areported
HNW clients: 7reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 17reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.02 fund_share=0.0 institutional_share=0.98 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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••• A••• · President And Ciocontrol
since 08/2015 · owns 75% or more
D••••••••• R•••••• J•••• · General Counsel And Cco
since 08/2015 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 20 to 17
Mar 31, 2025 to Mar 23, 2026
HNW clients · 8 to 7
Mar 31, 2025 to Mar 23, 2026
Discretionary RAUM · $907M to $955M
Mar 31, 2025 to Mar 23, 2026
HNW RAUM · $17.4M to $19.7M
Mar 31, 2025 to Mar 23, 2026
RAUM · $907M to $955M
Mar 31, 2025 to Mar 23, 2026
Accounts · 22 to 20
Aug 1, 2024 to Mar 31, 2025
HNW clients · 9 to 8
Aug 1, 2024 to Mar 31, 2025
Financial planning clients · unset to
Aug 1, 2024 to Mar 31, 2025
Discretionary RAUM · $957M to $907M
Aug 1, 2024 to Mar 31, 2025
HNW RAUM · $18.2M to $17.4M
Aug 1, 2024 to Mar 31, 2025
RAUM · $957M to $907M
Aug 1, 2024 to Mar 31, 2025
Accounts · 21 to 22
Mar 26, 2024 to Aug 1, 2024
Advisory employees · 4 to 3
Mar 26, 2024 to Aug 1, 2024
Employees · 7 to 6
Mar 26, 2024 to Aug 1, 2024
Discretionary RAUM · $789M to $957M
Mar 26, 2024 to Aug 1, 2024
HNW RAUM · $18.4M to $18.2M
Mar 26, 2024 to Aug 1, 2024
RAUM · $789M to $957M
Mar 26, 2024 to Aug 1, 2024
Accounts · 22 to 21
Dec 19, 2023 to Mar 26, 2024
Advisory employees · 3 to 4
Dec 19, 2023 to Mar 26, 2024
Discretionary RAUM · $701M to $789M
Dec 19, 2023 to Mar 26, 2024
HNW RAUM · $17.4M to $18.4M
Dec 19, 2023 to Mar 26, 2024
RAUM · $701M to $789M
Dec 19, 2023 to Mar 26, 2024
Accounts · 24 to 22
Mar 31, 2022 to Mar 31, 2023
HNW clients · 10 to 9
Mar 31, 2022 to Mar 31, 2023
Insurance-licensed employees · 1 to 0
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · $674M to $701M
Mar 31, 2022 to Mar 31, 2023
HNW RAUM · $17.3M to $17.4M
Mar 31, 2022 to Mar 31, 2023
RAUM · $674M to $701M
Mar 31, 2022 to Mar 31, 2023
Accounts · 25 to 24
Mar 31, 2021 to Mar 31, 2022
HNW clients · 12 to 10
Mar 31, 2021 to Mar 31, 2022
Discretionary RAUM · $597M to $674M
Mar 31, 2021 to Mar 31, 2022
HNW RAUM · $18.0M to $17.3M
Mar 31, 2021 to Mar 31, 2022
RAUM · $597M to $674M
Mar 31, 2021 to Mar 31, 2022
Accounts · 26 to 25
Jan 15, 2021 to Mar 31, 2021
Discretionary RAUM · $610M to $597M
Jan 15, 2021 to Mar 31, 2021
HNW RAUM · $16.7M to $18.0M
Jan 15, 2021 to Mar 31, 2021
RAUM · $610M to $597M
Jan 15, 2021 to Mar 31, 2021
Accounts · 24 to 26
Jul 17, 2020 to Jan 15, 2021
HNW clients · 11 to 12
Jul 17, 2020 to Jan 15, 2021
Employees · 6 to 7
Jul 17, 2020 to Jan 15, 2021

Signals

4 dated events

••• Locked
Jan 15, 2021 · RAUM change · derived
••• Locked
Jul 17, 2020 · RAUM change · derived
••• Locked
Mar 22, 2019 · RAUM change · derived
••• Locked
Oct 9, 2015 · 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, Mar 23, 2026
Principal office phone: ••• Lockedreportedpublic 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: Institutional managerderiveda 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