DFX Intelligence

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T•••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $6.7B of regulatory assets.

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

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $6.7B
Advisors: 0
RAUM change, last fiscal year: -30%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -30% over the last fiscal year, to $6.7B.
2026-02-27
RAUM a year earlier $9.6BRAUM now $6.7B
RAUM (Item 5.F) moved from $9,594,239,839 to $6,715,558,337 (-30.0%) between the annual amendments of 2025-03-13 and 2026-02-27; the peer median change was +13.0% (632 comparable advisers, 2.0th percentile of changes)
2026-02-27
RAUM (Item 5.F) 6715558337Peer median 0.127893872341352
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 281980 · SEC 801-106888 · 25 filingsShow

CRD 281980SEC 801-106888First filing on the tape Nov 2, 2015, latest Feb 27, 2026SEC status approved since Nov 13, 2015IAPD

RAUM

$6.7B

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

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM$6.7B as of Feb 27, 2026

Jan 20, 2016$50.0M then

HNW client RAUM: no history

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

Jan 20, 20160 then

Employees (5.A)7 as of Feb 27, 2026

Jan 20, 20168 then

Private funds1 as of Feb 27, 2026

Mar 31, 20221 then

RAUM -30% over the last fiscal year-6.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 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: $1.3BderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -30%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, otherreportedItem 5.G
Custody: $2.9B, 3 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$6.7B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $2.9B for 3 clientsreported
Compensation: % of AUM, fixed, 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

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 10 longest tenured

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
T•••••• R••••••• V•••• R•••• M••••• F••• L•	Hedge Fund	$2.9B	3	Feb 24, 2022

Owners and control persons

Schedule A and B, latest filing

B•••••••• C••••••••• J••• · Ownercontrol
since 02/2017 · owns 25% to 50%
C•••• J•••• · Ownercontrol
since 08/2018 · owns 25% to 50%
S•••••• P•••• C••••••••• · Chief Compliance Officercontrol
since 07/2021 · owns less than 5%
W•••• B••••••• J• · Crocontrol
since 07/2013 · owns less than 5%
W•••• B••••••• J• · Sole Ownercontrol
since 07/2013 · owns 75% or more of D••••• L••
A••••• C••••••••• J•••••• L•••• · Owner
since 02/2017 · owns 5% to 10%

Entity owners

D••••• L•• · Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

T•••••• R••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Naples, FL1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Feb 27, 2026
RAUM (Item 5.F) moved from $9,594,239,839 to $6,715,558,337 (-30.0%) between the annual amendments of 2025-03-13 and 2026-02-27; the peer median change was +13.0% (632 comparable advisers, 2.0th percentile of changes)
peers: asset managers, $5B to $20B (632) · 2.4% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 6 to 5
Mar 13, 2025 to Feb 27, 2026
Pooled vehicle clients · 6 to 5
Mar 13, 2025 to Feb 27, 2026
Assets in custody · $1.2B to $2.9B
Mar 13, 2025 to Feb 27, 2026
Discretionary RAUM · $9.6B to $6.7B
Mar 13, 2025 to Feb 27, 2026
Pooled vehicle RAUM · $9.6B to $6.7B
Mar 13, 2025 to Feb 27, 2026

Full history · 70 changes

RAUM · $9.6B to $6.7B
Mar 13, 2025 to Feb 27, 2026
Advisory activities · 1 to 2
Mar 28, 2024 to Mar 13, 2025
Assets in custody · $1.1B to $1.2B
Mar 28, 2024 to Mar 13, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 13, 2025
Discretionary RAUM · $8.5B to $9.6B
Mar 28, 2024 to Mar 13, 2025
Pooled vehicle RAUM · $8.5B to $9.6B
Mar 28, 2024 to Mar 13, 2025
RAUM · $8.5B to $9.6B
Mar 28, 2024 to Mar 13, 2025
Accounts · 5 to 6
Mar 24, 2023 to Mar 28, 2024
Pooled vehicle clients · 5 to 6
Mar 24, 2023 to Mar 28, 2024
Assets in custody · $1.2B to $1.1B
Mar 24, 2023 to Mar 28, 2024
Other offices · 0 to 1
Mar 24, 2023 to Mar 28, 2024
Discretionary RAUM · $8.1B to $8.5B
Mar 24, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $8.1B to $8.5B
Mar 24, 2023 to Mar 28, 2024
RAUM · $8.1B to $8.5B
Mar 24, 2023 to Mar 28, 2024
BD registered reps · 2 to 0
Aug 23, 2022 to Mar 24, 2023
Assets in custody · $1.4B to $1.2B
Aug 23, 2022 to Mar 24, 2023
Discretionary RAUM · $9.6B to $8.1B
Aug 23, 2022 to Mar 24, 2023
Pooled vehicle RAUM · $9.6B to $8.1B
Aug 23, 2022 to Mar 24, 2023
RAUM · $9.6B to $8.1B
Aug 23, 2022 to Mar 24, 2023
Assets in custody · $1.9B to $1.4B
Mar 31, 2022 to Aug 15, 2022
Discretionary RAUM · $14B to $9.6B
Mar 31, 2022 to Aug 15, 2022
Pooled vehicle RAUM · $14B to $9.6B
Mar 31, 2022 to Aug 15, 2022
RAUM · $14B to $9.6B
Mar 31, 2022 to Aug 15, 2022
Accounts · 1 to 5
Feb 24, 2022 to Mar 31, 2022
Advisory employees · 7 to 5
Feb 24, 2022 to Mar 31, 2022
BD registered reps · 3 to 2
Feb 24, 2022 to Mar 31, 2022
Pooled vehicle clients · 1 to 5
Feb 24, 2022 to Mar 31, 2022
Assets in custody · unset to 1937757739.0
Feb 24, 2022 to Mar 31, 2022
Custody of client assets · false to true
Feb 24, 2022 to Mar 31, 2022
Employees · 8 to 7
Feb 24, 2022 to Mar 31, 2022
Discretionary RAUM · $4.9B to $14B
Feb 24, 2022 to Mar 31, 2022
Pooled vehicle RAUM · $4.9B to $14B
Feb 24, 2022 to Mar 31, 2022
RAUM · $4.9B to $14B
Feb 24, 2022 to Mar 31, 2022
Private funds · unset to 1
Jul 21, 2021 to Feb 24, 2022
Discretionary RAUM · $5.7B to $4.9B
Jun 26, 2020 to Mar 22, 2021
Pooled vehicle RAUM · $5.7B to $4.9B
Jun 26, 2020 to Mar 22, 2021
RAUM · $5.7B to $4.9B
Jun 26, 2020 to Mar 22, 2021
Related broker-dealer · true to false
Mar 29, 2020 to Jun 26, 2020
Advisory employees · 8 to 7
Mar 29, 2019 to Mar 29, 2020
BD registered reps · 4 to 3
Mar 29, 2019 to Mar 29, 2020
Employees · 9 to 8
Mar 29, 2019 to Mar 29, 2020
Discretionary RAUM · $4.6B to $5.7B
Mar 29, 2019 to Mar 29, 2020
Pooled vehicle RAUM · $4.6B to $5.7B
Mar 29, 2019 to Mar 29, 2020
RAUM · $4.6B to $5.7B
Mar 29, 2019 to Mar 29, 2020
Related adviser · true to false
Mar 29, 2019 to Mar 29, 2020
Advisory employees · 6 to 8
May 17, 2018 to Mar 28, 2019
Advisory activities · 2 to 1
May 17, 2018 to Mar 28, 2019
BD registered reps · 8 to 4
May 17, 2018 to Mar 28, 2019
Pooled vehicle clients · unset to 1.0
May 17, 2018 to Mar 28, 2019
Employees · 8 to 9
May 17, 2018 to Mar 28, 2019
Discretionary RAUM · $50.5M to $4.6B
May 17, 2018 to Mar 28, 2019
Pooled vehicle RAUM · unset to 4644067464.0
May 17, 2018 to Mar 28, 2019
RAUM · $50.5M to $4.6B
May 17, 2018 to Mar 28, 2019
Advisory activities · 1 to 2
Feb 6, 2018 to May 17, 2018
Other offices · unset to 0.0
Aug 16, 2017 to Feb 3, 2018
Discretionary RAUM · $50.0M to $50.5M
Aug 16, 2017 to Feb 3, 2018
RAUM · $50.0M to $50.5M
Aug 16, 2017 to Feb 3, 2018
Business name · N•••••• A•••••••• L•• to T•••••• C•••••• M••••••••• L••
Jun 8, 2017 to Aug 16, 2017
Legal name · N•••••• A•••••••• L•• to T•••••• C•••••• M••••••••• L••
Mar 5, 2017 to Jun 8, 2017
Accounts · 0 to 1
Nov 2, 2015 to Jan 20, 2016
Advisory employees · 4 to 6
Nov 2, 2015 to Jan 20, 2016
BD registered reps · 6 to 8
Nov 2, 2015 to Jan 20, 2016
Employees · 6 to 8
Nov 2, 2015 to Jan 20, 2016
Discretionary RAUM · $0 to $50.0M
Nov 2, 2015 to Jan 20, 2016
RAUM · $0 to $50.0M
Nov 2, 2015 to Jan 20, 2016

Signals

11 dated events

••• Locked
Feb 27, 2026 · ria private fund assets change · fact
••• Locked
Feb 27, 2026 · RAUM change · derived
••• Locked
Feb 27, 2026 · private fund gav change · fact
••• Locked
Aug 15, 2022 · RAUM change · derived
••• Locked
Mar 31, 2022 · RAUM change · derived

Full timeline · 11 events

••• Locked
Jul 21, 2021 · Control person joined · fact
••• Locked
Jul 21, 2021 · Control person left · inference
••• Locked
Mar 28, 2019 · Control person joined · fact
••• Locked
Mar 28, 2019 · Control person left · inference
••• Locked
Mar 28, 2019 · RAUM change · derived
••• Locked
Nov 2, 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, Feb 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 27, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

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