DFX Intelligence

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H••• C•••••• R••• E•••••• L••

Asset manager (funds and pooled vehicles)SEC-registered· Rowayton, Connecticutwebsite

Asset manager (funds and pooled vehicles), based in Rowayton, Connecticut, reporting $140M of regulatory assets across 2 registered advisors.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $140M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +8.9%
Private clients: 5.5% of RAUM, $7.7M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-30 · 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 281848 · SEC 801-114767 · 11 filingsShow

CRD 281848SEC 801-114767First filing on the tape Jan 30, 2019, latest Mar 30, 2026SEC status approved since Mar 11, 2019IAPD

RAUM

$140M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

5.5%

$7.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$70.1M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$140M as of Mar 30, 2026

Mar 18, 2019$0 then

HNW client RAUM$0 as of Mar 30, 2026

Mar 18, 2019$0 then

State-registered IARs (5.B.3)2 as of Mar 30, 2026

Mar 18, 20193 then

Employees (5.A)4 as of Mar 30, 2026

Mar 18, 20193 then

Private funds: no history

RAUM +8.9% over the last fiscal year+28% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

RAUM per advisor: $70.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 5derivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $11.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +8.9%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, subscriptionreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, publicationsreportedItem 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)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$132M94%
Individuals$7.7M5.5%

Individual clients: 10reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 12reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.06 fund_share=0.94 institutional_share=0.0 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

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

T•••••• P•••• P••••• to P••••• I•••••••• I••
Jan 18, 2023 · Other

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

P•••••• A••••••••• R••••• · Presidentcontrol
since 10/2015 · owns 25% to 50%
P•••••• S•••••• P••• · Chief Executive Officer And Chief Compliance Officercontrol
since 10/2018 · owns less than 5%

Entity owners

P••••• I•••••••• I•• · Majority Owner
direct · owns 50% to 75%

Related persons

Schedule D 7.A

P••••• I•••••••• I••
investment adviseryRAUM $192M

Advisers that list H••• C•••••• R••• E•••••• L•• as a related person

105553 y

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Rowayton, Ct · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $129M to $140M
Mar 31, 2025 to Mar 30, 2026
Individual RAUM · $7.5M to $7.7M
Mar 31, 2025 to Mar 30, 2026
RAUM · $129M to $140M
Mar 31, 2025 to Mar 30, 2026
Financial planning clients · 0 to 0
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $102M to $129M
Mar 28, 2024 to Mar 31, 2025
Individual RAUM · $7.5M to $7.5M
Mar 28, 2024 to Mar 31, 2025
RAUM · $102M to $129M
Mar 28, 2024 to Mar 31, 2025
Advisory employees · 2 to 3
May 2, 2023 to Mar 28, 2024
Employees · 3 to 4
May 2, 2023 to Mar 28, 2024
Discretionary RAUM · $67.4M to $102M
May 2, 2023 to Mar 28, 2024
Individual RAUM · $6.5M to $7.5M
May 2, 2023 to Mar 28, 2024
RAUM · $67.4M to $102M
May 2, 2023 to Mar 28, 2024
Advisory employees · 3 to 2
Mar 17, 2022 to May 2, 2023
Employees · 4 to 3
Mar 17, 2022 to May 2, 2023
Insurance-licensed employees · 3 to 2
Mar 17, 2022 to May 2, 2023
State-registered IARs · 3 to 2
Mar 17, 2022 to May 2, 2023
Discretionary RAUM · $110M to $67.4M
Mar 17, 2022 to May 2, 2023
Individual RAUM · $8.0M to $6.5M
Mar 17, 2022 to May 2, 2023
RAUM · $110M to $67.4M
Mar 17, 2022 to May 2, 2023
Accounts · 6 to 12
Jan 30, 2022 to Mar 17, 2022
Advisory employees · 2 to 3
Jan 30, 2022 to Mar 17, 2022
Individual clients · 5 to 10
Jan 30, 2022 to Mar 17, 2022
Employees · 3 to 4
Jan 30, 2022 to Mar 17, 2022
Insurance-licensed employees · 0 to 3
Jan 30, 2022 to Mar 17, 2022
State-registered IARs · 2 to 3
Jan 30, 2022 to Mar 17, 2022
Discretionary RAUM · $68.9M to $110M
Jan 30, 2022 to Mar 17, 2022
Individual RAUM · $6.2M to $8.0M
Jan 30, 2022 to Mar 17, 2022
RAUM · $68.9M to $110M
Jan 30, 2022 to Mar 17, 2022
Accounts · 2 to 6
Jun 22, 2020 to Mar 20, 2021
Individual clients · unset to 5.0
Jun 22, 2020 to Mar 20, 2021
Employees · 4 to 3
Jun 22, 2020 to Mar 20, 2021
Discretionary RAUM · $9.5M to $68.9M
Jun 22, 2020 to Mar 20, 2021
Individual RAUM · $129,083 to $6.2M
Jun 22, 2020 to Mar 20, 2021
RAUM · $9.5M to $68.9M
Jun 22, 2020 to Mar 20, 2021
Accounts · 0 to 2
Mar 18, 2019 to Mar 11, 2020
Advisory employees · 3 to 2
Mar 18, 2019 to Mar 11, 2020
Advisory activities · 3 to 4
Mar 18, 2019 to Mar 11, 2020
Individual clients · 0.0 to unset
Mar 18, 2019 to Mar 11, 2020
Employees · 3 to 4
Mar 18, 2019 to Mar 11, 2020
State-registered IARs · 3 to 2
Mar 18, 2019 to Mar 11, 2020

Signals

2 dated events

••• Locked
Jan 18, 2023 · Advisor changed firm · fact
••• Locked
Jan 30, 2019 · 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 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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: $70.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026