DFX Intelligence
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SEC-registered adviser
F••••••• I••••••••• M••••••••• P••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Jan 13, 2016 · 15 filings
SEC status approved since Jan 27, 2016
RAUM
$2.5B
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
28
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.5B as of Mar 27, 2026
Mar 31, 2017$1.4B then
HNW client RAUM$6.8M as of Mar 30, 2022
Mar 30, 2018$9.6M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20170 then
Employees (5.A)28 as of Mar 27, 2026
Mar 31, 201716 then
Private funds2 as of Mar 27, 2026
Mar 31, 20172 then
RAUM -6.6% over the last fiscal year+8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $179MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 58%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
- -6.6%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
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$1.5B60%
- Pooled investment vehicles$955M40%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.38 institutional_share=0.58 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•• E• F••••••• F••• L•••••• | Other Private Fund | $138M | 4 | Jan 13, 2016 |
| F•• M••• H•••••• F••• | Other Private Fund | $122M | 7 | Jan 13, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•• M•••••• H•••• •••• · Equity Owner , Director And Chief Executive Officercontrolsince 10/2008 · owns 50% to 75%
- A•••••• K••••• J••••• •••• · Director And Chief Compliance Officersince 06/2011 · owns less than 5%
- H•••••• M•••• S••••• · Directorsince 05/2017 · owns less than 5%
- M••••••• A•••• A•••••••• · Chief Operating Officersince 11/2020 · owns less than 5%
- M•••••• K••••• •••• · Directorsince 09/2017 · owns less than 5%
- S•••••• K••••• A•• A••• S•••• · Directorsince 09/2017 · owns less than 5%
Entity owners
- E•• • H••••• U•• L•••••• · Equity Ownerdirect · owns 50% to 75%
- E••••••••• H•••••• S••••• •••••• E••••• T•••••• O• E••••••• A•• L••••• S•••• E•••••••• · Equity Ownerindirect · owns 75% or more of E••••••••• Uae L••••••
Related persons
Schedule D 7.A
- E•• • H••••• U•• L••••••investment advisery
- F•• • I•• R••• E••••• O••••••••• F••• G• L••pooled vehicle sponsory
- F•• P••••••• K••investment advisery
- F•• P••••••• M••••• S••investment advisery
- F•• P••••••• U• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 14Mar 25, 2025 to Mar 27, 2026
- Advisory employees · 12 to 13Mar 25, 2025 to Mar 27, 2026
- Employees · 27 to 28Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.3B to $2.5BMar 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $334M to $0Mar 25, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $919M to $955MMar 25, 2025 to Mar 27, 2026
- RAUM · $2.7B to $2.5BMar 25, 2025 to Mar 27, 2026
- Accounts · 16 to 17Mar 22, 2024 to Mar 25, 2025
- Employees · 26 to 27Mar 22, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 25, 2025
- HQ state · unset to Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $2.3B to $2.3BMar 22, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $0 to $334MMar 22, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $835M to $919MMar 22, 2024 to Mar 25, 2025
- RAUM · $2.3B to $2.7BMar 22, 2024 to Mar 25, 2025
- Accounts · 13 to 16Mar 28, 2023 to Mar 22, 2024
- Pooled vehicle clients · 5 to 6Mar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.9B to $2.3BMar 28, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $634M to $835MMar 28, 2023 to Mar 22, 2024
- RAUM · $1.9B to $2.3BMar 28, 2023 to Mar 22, 2024
- Accounts · 12 to 13Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.1B to $1.9BMar 30, 2022 to Mar 28, 2023
- HNW RAUM · 6768932.0 to unsetMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $675M to $634MMar 30, 2022 to Mar 28, 2023
- RAUM · $2.1B to $1.9BMar 30, 2022 to Mar 28, 2023
- Accounts · 16 to 12Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 7 to 5Mar 30, 2021 to Mar 30, 2022
- Employees · 25 to 26Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.0B to $2.1BMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $6.0M to $6.8MMar 30, 2021 to Mar 30, 2022
- Pension RAUM · 3241404.0 to unsetMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $722M to $675MMar 30, 2021 to Mar 30, 2022
- RAUM · $2.0B to $2.1BMar 30, 2021 to Mar 30, 2022
- Accounts · 15 to 16Mar 27, 2020 to Mar 30, 2021
- Advisory employees · 13 to 12Mar 27, 2020 to Mar 30, 2021
- Employees · 27 to 25Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.4B to $2.0BMar 27, 2020 to Mar 30, 2021
- HNW RAUM · $6.5M to $6.0MMar 27, 2020 to Mar 30, 2021
- Pension RAUM · $114M to $3.2MMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $512M to $722MMar 27, 2020 to Mar 30, 2021
Signals
2 dated events
- F••••••• I••••••••• M••••••••• P••••••• L••• reported RAUM $2.0B, up 38% from $1.4B (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- D••• M••• L•••••• filed its initial SEC registration (Form ADV)Jan 13, 2016 · 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
- f•••••••••.comreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- 00 971 4 237 9200reportedpublic record, Form ADV, Mar 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
- Other adviserderiveda 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