DFX Intelligence

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M••••• C•••••• M••••••••• L••

Other adviserSEC-registered1 private funds· New York, New Yorkwebsite

Other adviser, based in New York, New York, reporting $337M of regulatory assets across 2 registered advisors.

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

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $337M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +98%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $171M to $337M (+97.8%) on the Form ADV filed 27 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 284629 · SEC 801-108156 · 16 filingsShow

CRD 284629SEC 801-108156First filing on the tape Jul 14, 2016, latest Mar 27, 2026SEC status approved since Jul 25, 2016IAPD

RAUM

$337M

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

$169M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM +22% a year over three years · the tape starts Jul 14, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$337M as of Mar 27, 2026

Mar 21, 2017$52.8M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Mar 27, 2026

Mar 21, 20170 then

Employees (5.A)3 as of Mar 27, 2026

Mar 21, 20173 then

Private funds1 as of Mar 27, 2026

Mar 21, 20171 then

RAUM +98% over the last fiscal year+22% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $169MderivedRAUM 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: $67.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +98%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $4.1M, 1 clientreportedItem 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)
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

87% corporations and businesses, 11% pension and profit-sharing plans, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Corporations and businesses$295M87%
Pension and profit-sharing plans$38.6M11%
Pooled investment vehicles$4.1M1.2%

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: $4.1M for 1 clientreported
Compensation: % of AUM, fixed, performancereported
Class basis: RAUM: 0% private clients, 1% pooled funds, 11% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••• P• L•••••	New York, Ny	Jul 19, 2021	15 y	0
T•••••• S••••••	New York, Ny	Jul 19, 2021	15 y	0

Private funds

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

Fund	Type	Gross assets	Owners	First reported
M••••• O••••••••• F••• L•no longer reported	Hedge Fund	$9.0M	22	Mar 31, 2021
M••••• A••••• F••• L•	Hedge Fund	$4.1M	7	Jul 14, 2016

Owners and control persons

Schedule A and B, latest filing

S••••••• T•••••• · Managing Member & Ceocontrol
since 01/2011 · owns 75% or more
L•••••• J•••• P• · Coo/Cco
since 01/2011 · owns less than 5%

Related persons

Schedule D 7.A

M••••• I•••••••• L••
pooled vehicle sponsory
M••••• O••••••••• G•••••• P•••••• L••
pooled vehicle sponsory

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 27, 2026
RAUM (Item 5.F) moved from $170,624,247 to $337,410,349 (+98.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +8.0% (161 comparable advisers, 95.0th percentile of changes)
peers: other advisers, $100M to $500M (161) · 95% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 6 to 5
Mar 28, 2025 to Mar 27, 2026
Pooled vehicle clients · 2 to 1
Mar 28, 2025 to Mar 27, 2026
Assets in custody · $7.8M to $4.1M
Mar 28, 2025 to Mar 27, 2026
Private funds · 2 to 1
Mar 28, 2025 to Mar 27, 2026
Discretionary RAUM · $171M to $337M
Mar 28, 2025 to Mar 27, 2026

Full history · 72 changes

Pension RAUM · $18.8M to $38.6M
Mar 28, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $7.8M to $4.1M
Mar 28, 2025 to Mar 27, 2026
RAUM · $171M to $337M
Mar 28, 2025 to Mar 27, 2026
Assets in custody · $11.2M to $7.8M
Mar 29, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 29, 2024 to Mar 28, 2025
Discretionary RAUM · $167M to $171M
Mar 29, 2024 to Mar 28, 2025
Pension RAUM · $18.0M to $18.8M
Mar 29, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $11.2M to $7.8M
Mar 29, 2024 to Mar 28, 2025
RAUM · $167M to $171M
Mar 29, 2024 to Mar 28, 2025
Assets in custody · $21.4M to $11.2M
Jun 29, 2023 to Mar 29, 2024
Discretionary RAUM · $184M to $167M
Jun 29, 2023 to Mar 29, 2024
Pension RAUM · $18.6M to $18.0M
Jun 29, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $21.4M to $11.2M
Jun 29, 2023 to Mar 29, 2024
RAUM · $184M to $167M
Jun 29, 2023 to Mar 29, 2024
Assets in custody · $21.6M to $21.4M
Mar 28, 2022 to Mar 28, 2023
Discretionary RAUM · $164M to $184M
Mar 28, 2022 to Mar 28, 2023
Pension RAUM · $16.7M to $18.6M
Mar 28, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $21.6M to $21.4M
Mar 28, 2022 to Mar 28, 2023
RAUM · $164M to $184M
Mar 28, 2022 to Mar 28, 2023
Assets in custody · $12.4M to $21.6M
Apr 22, 2021 to Mar 28, 2022
State-registered IARs · 0 to 2
Apr 22, 2021 to Mar 28, 2022
Discretionary RAUM · $138M to $164M
Apr 22, 2021 to Mar 28, 2022
Pension RAUM · $15.0M to $16.7M
Apr 22, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $12.4M to $21.6M
Apr 22, 2021 to Mar 28, 2022
RAUM · $138M to $164M
Apr 22, 2021 to Mar 28, 2022
Assets in custody · $9.7M to $12.4M
Mar 31, 2021 to Apr 22, 2021
Discretionary RAUM · $101M to $138M
Mar 31, 2021 to Apr 22, 2021
Pension RAUM · $10.9M to $15.0M
Mar 31, 2021 to Apr 22, 2021
Pooled vehicle RAUM · $9.7M to $12.4M
Mar 31, 2021 to Apr 22, 2021
RAUM · $101M to $138M
Mar 31, 2021 to Apr 22, 2021
Accounts · 5 to 6
Mar 26, 2020 to Mar 31, 2021
Pooled vehicle clients · 1 to 2
Mar 26, 2020 to Mar 31, 2021
Assets in custody · $3.5M to $9.7M
Mar 26, 2020 to Mar 31, 2021
Private funds · 1 to 2
Mar 26, 2020 to Mar 31, 2021
Discretionary RAUM · $110M to $101M
Mar 26, 2020 to Mar 31, 2021
Pension RAUM · $12.9M to $10.9M
Mar 26, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $3.5M to $9.7M
Mar 26, 2020 to Mar 31, 2021
RAUM · $110M to $101M
Mar 26, 2020 to Mar 31, 2021
Assets in custody · $4.0M to $3.5M
Mar 26, 2019 to Mar 26, 2020
Discretionary RAUM · $92.7M to $110M
Mar 26, 2019 to Mar 26, 2020
Pension RAUM · $7.0M to $12.9M
Mar 26, 2019 to Mar 26, 2020
Pooled vehicle RAUM · $4.0M to $3.5M
Mar 26, 2019 to Mar 26, 2020
RAUM · $92.7M to $110M
Mar 26, 2019 to Mar 26, 2020
Corporate clients · 3.0 to unset
Mar 16, 2018 to Mar 26, 2019
Pension plan clients · 1.0 to unset
Mar 16, 2018 to Mar 26, 2019
Assets in custody · $5.8M to $4.0M
Mar 16, 2018 to Mar 26, 2019
Discretionary RAUM · $126M to $92.7M
Mar 16, 2018 to Mar 26, 2019
Pension RAUM · $9.4M to $7.0M
Mar 16, 2018 to Mar 26, 2019
Pooled vehicle RAUM · $5.8M to $4.0M
Mar 16, 2018 to Mar 26, 2019
RAUM · $126M to $92.7M
Mar 16, 2018 to Mar 26, 2019
Accounts · 4 to 5
Mar 21, 2017 to Mar 16, 2018
Corporate clients · unset to 3.0
Mar 21, 2017 to Mar 16, 2018
Pension plan clients · unset to 1.0
Mar 21, 2017 to Mar 16, 2018
Pooled vehicle clients · unset to 1.0
Mar 21, 2017 to Mar 16, 2018
Assets in custody · $3.2M to $5.8M
Mar 21, 2017 to Mar 16, 2018
Other offices · unset to 0.0
Mar 21, 2017 to Mar 16, 2018
Discretionary RAUM · $52.8M to $126M
Mar 21, 2017 to Mar 16, 2018
Pension RAUM · unset to 9431276.0
Mar 21, 2017 to Mar 16, 2018
Pooled vehicle RAUM · unset to 5802986.0
Mar 21, 2017 to Mar 16, 2018
RAUM · $52.8M to $126M
Mar 21, 2017 to Mar 16, 2018
Assets in custody · $3.6M to $3.2M
Nov 3, 2016 to Mar 21, 2017
Discretionary RAUM · $53.6M to $52.8M
Nov 3, 2016 to Mar 21, 2017
RAUM · $53.6M to $52.8M
Nov 3, 2016 to Mar 21, 2017
Accounts · 1 to 4
Aug 8, 2016 to Nov 3, 2016
Assets in custody · $4.1M to $3.6M
Aug 8, 2016 to Nov 3, 2016
Discretionary RAUM · $4.1M to $53.6M
Aug 8, 2016 to Nov 3, 2016
RAUM · $4.1M to $53.6M
Aug 8, 2016 to Nov 3, 2016

Signals

3 dated events

••• Locked
Mar 27, 2026 · RAUM change · derived
••• Locked
Mar 27, 2026 · private fund no longer reported · inference
••• Locked
Jul 14, 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: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $169Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026