DFX Intelligence

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A••••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $2.2B of regulatory assets.

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

As of 2026-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $2.2B
RAUM change, 1 year: +1.4%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 285141 · SEC 801-108500 · 21 filingsShow

CRD 285141SEC 801-108500First filing on the tape Sep 30, 2016, latest Mar 9, 2026SEC status approved since Oct 18, 2016IAPD

RAUM

$2.2B

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

20 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +4.9% a year over three years · the tape starts Sep 30, 2016

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

RAUM$2.2B as of Mar 9, 2026

Mar 28, 2017$340M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 9, 2026

Mar 28, 20170 then

Employees (5.A)42 as of Mar 9, 2026

Mar 28, 201715 then

Private funds2 as of Mar 9, 2026

Mar 28, 20172 then

RAUM +1.4% over the last fiscal year+4.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 9, 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: $553MderivedRAUM 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: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +1.4%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 assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody: $2.2B, 4 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$2.2B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $2.2B for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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 longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A••••••••• O••••••• M••••• L•••	Hedge Fund	$2.0B	260	Sep 30, 2016
A••••••••• O••••••• I••••••••• F••• L•••no longer reported	Hedge Fund	$180M	2	Sep 30, 2016

Owners and control persons

Schedule A and B, latest filing

B•••••••• P•••••••• •••• · Partner, Futures And Fx Researchcontrol
since 07/2022 · owns less than 5%
C•••• N•••••••• M• · Partnercontrol
since 03/2024 · owns less than 5%
C••••••••• P••••• W••••• · Partnercontrol
since 01/2020 · owns 5% to 10%
G••••••• A••••••••• •••• · Partnercontrol
since 03/2001 · owns less than 5%
H••••• M••••••• D•••• · Partner, Senior Quantitative Researcher - Equitiescontrol
since 01/2024 · owns less than 5%

All 12 control persons

J•••••••• R••••••• D••••• · Partner, Chief Compliance Officer And Chief Administrative Officercontrol
since 07/2022 · owns less than 5%
K•••••••• K••••• T•••• · Chief Financial Officercontrol
since 05/2023 · owns less than 5%
K••••••••• N••••• •••• · Managing Member, Founder And Chief Investment Officercontrol
since 03/2001 · owns 50% to 75%
S••••• R•••••• K••• · Partner, Chairman Of The Advisory Boardcontrol
since 01/2024 · owns less than 5%
T••••••• D••••• W••••• · Partner, Senior Quantitative Researchercontrol
since 06/2023 · owns less than 5%
T•••• R•••••• H•••• · Partner, Head Of Tradingcontrol
since 01/2020 · owns less than 5%
K••••••••• N••••• •••• · Trusteecontrol
since 12/2020 · owns 75% or more of K•••••••• F••••• T••••

Entity owners

K•••••••• F••••• T•••• · Partner
direct · owns 10% to 25%
Q•••• A••••••••• H•••••• L•• · Partner
direct · owns 5% to 10%

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

Advisory employees · 29 to 20
Apr 15, 2025 to Mar 9, 2026
Advisory activities · 1 to 2
Apr 15, 2025 to Mar 9, 2026
Pooled vehicle clients · 4 to 3
Apr 15, 2025 to Mar 9, 2026
Assets in custody · $2.2B to $2.2B
Apr 15, 2025 to Mar 9, 2026
Employees · 47 to 42
Apr 15, 2025 to Mar 9, 2026

Full history · 80 changes

Discretionary RAUM · $2.2B to $2.2B
Apr 15, 2025 to Mar 9, 2026
Pooled vehicle RAUM · $2.2B to $2.2B
Apr 15, 2025 to Mar 9, 2026
RAUM · $2.2B to $2.2B
Apr 15, 2025 to Mar 9, 2026
Accounts · 3 to 4
Jan 17, 2025 to Apr 15, 2025
Advisory employees · 25 to 29
Jan 17, 2025 to Apr 15, 2025
Advisory activities · 2 to 1
Jan 17, 2025 to Apr 15, 2025
Pooled vehicle clients · 3 to 4
Jan 17, 2025 to Apr 15, 2025
Assets in custody · $2.0B to $2.2B
Jan 17, 2025 to Apr 15, 2025
Employees · 37 to 47
Jan 17, 2025 to Apr 15, 2025
Financial planning clients · unset to
Jan 17, 2025 to Apr 15, 2025
Private funds · 1 to 2
Jan 17, 2025 to Apr 15, 2025
Discretionary RAUM · $2.0B to $2.2B
Jan 17, 2025 to Apr 15, 2025
Pooled vehicle RAUM · $2.0B to $2.2B
Jan 17, 2025 to Apr 15, 2025
RAUM · $2.0B to $2.2B
Jan 17, 2025 to Apr 15, 2025
Business name · Q•••• P••••••• L•• to A••••••••• L••
Oct 1, 2024 to Jan 17, 2025
Legal name · Q•••• P••••••• L•• to A••••••••• L••
Oct 1, 2024 to Jan 17, 2025
Advisory employees · 17 to 25
Jul 13, 2023 to Mar 29, 2024
Assets in custody · $1.9B to $2.0B
Jul 13, 2023 to Mar 29, 2024
Employees · 34 to 37
Jul 13, 2023 to Mar 29, 2024
Discretionary RAUM · $1.9B to $2.0B
Jul 13, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $1.9B to $2.0B
Jul 13, 2023 to Mar 29, 2024
RAUM · $1.9B to $2.0B
Jul 13, 2023 to Mar 29, 2024
Advisory employees · 13 to 17
Jun 6, 2022 to Mar 16, 2023
Assets in custody · $1.2B to $1.9B
Jun 6, 2022 to Mar 16, 2023
Employees · 20 to 34
Jun 6, 2022 to Mar 16, 2023
Discretionary RAUM · $1.2B to $1.9B
Jun 6, 2022 to Mar 16, 2023
Pooled vehicle RAUM · $1.2B to $1.9B
Jun 6, 2022 to Mar 16, 2023
RAUM · $1.2B to $1.9B
Jun 6, 2022 to Mar 16, 2023
Advisory employees · 12 to 13
Feb 17, 2021 to Mar 21, 2022
Assets in custody · $882M to $1.2B
Feb 17, 2021 to Mar 21, 2022
Discretionary RAUM · $882M to $1.2B
Feb 17, 2021 to Mar 21, 2022
Pooled vehicle RAUM · $882M to $1.2B
Feb 17, 2021 to Mar 21, 2022
RAUM · $882M to $1.2B
Feb 17, 2021 to Mar 21, 2022
Accounts · 4 to 3
Mar 13, 2020 to Feb 17, 2021
Assets in custody · $706M to $882M
Mar 13, 2020 to Feb 17, 2021
Employees · 18 to 20
Mar 13, 2020 to Feb 17, 2021
Discretionary RAUM · $709M to $882M
Mar 13, 2020 to Feb 17, 2021
Individual RAUM · 3145947.0 to unset
Mar 13, 2020 to Feb 17, 2021
Pooled vehicle RAUM · $706M to $882M
Mar 13, 2020 to Feb 17, 2021
RAUM · $709M to $882M
Mar 13, 2020 to Feb 17, 2021
Assets in custody · $618M to $706M
Feb 15, 2019 to Mar 13, 2020
Employees · 20 to 18
Feb 15, 2019 to Mar 13, 2020
Discretionary RAUM · $620M to $709M
Feb 15, 2019 to Mar 13, 2020
Individual RAUM · $2.4M to $3.1M
Feb 15, 2019 to Mar 13, 2020
Pooled vehicle RAUM · $618M to $706M
Feb 15, 2019 to Mar 13, 2020
RAUM · $620M to $709M
Feb 15, 2019 to Mar 13, 2020
Accounts · 3 to 4
Sep 12, 2018 to Feb 15, 2019
Advisory activities · 1 to 2
Sep 12, 2018 to Feb 15, 2019
Assets in custody · $503M to $618M
Sep 12, 2018 to Feb 15, 2019
Employees · 19 to 20
Sep 12, 2018 to Feb 15, 2019
Discretionary RAUM · $650M to $620M
Sep 12, 2018 to Feb 15, 2019
Individual RAUM · unset to 2399130.0
Sep 12, 2018 to Feb 15, 2019
Pooled vehicle RAUM · $650M to $618M
Sep 12, 2018 to Feb 15, 2019
RAUM · $650M to $620M
Sep 12, 2018 to Feb 15, 2019
Accounts · 4 to 3
Mar 26, 2018 to Sep 12, 2018
Advisory employees · 10 to 12
Mar 26, 2018 to Sep 12, 2018
Pooled vehicle clients · 4 to 3
Mar 26, 2018 to Sep 12, 2018
Assets in custody · $340M to $503M
Mar 26, 2018 to Sep 12, 2018
Employees · 16 to 19
Mar 26, 2018 to Sep 12, 2018
Private funds · 2 to 1
Mar 26, 2018 to Sep 12, 2018
Discretionary RAUM · $570M to $650M
Mar 26, 2018 to Sep 12, 2018
Pooled vehicle RAUM · $570M to $650M
Mar 26, 2018 to Sep 12, 2018
RAUM · $570M to $650M
Mar 26, 2018 to Sep 12, 2018
Advisory employees · 9 to 10
Mar 28, 2017 to Mar 26, 2018
Pooled vehicle clients · unset to 4.0
Mar 28, 2017 to Mar 26, 2018
Employees · 15 to 16
Mar 28, 2017 to Mar 26, 2018
Other offices · unset to 0.0
Mar 28, 2017 to Mar 26, 2018
Discretionary RAUM · $340M to $570M
Mar 28, 2017 to Mar 26, 2018
Pooled vehicle RAUM · unset to 569961106.0
Mar 28, 2017 to Mar 26, 2018
RAUM · $340M to $570M
Mar 28, 2017 to Mar 26, 2018
Advisory employees · 6 to 9
Oct 14, 2016 to Mar 28, 2017
Assets in custody · $120M to $340M
Oct 14, 2016 to Mar 28, 2017
Employees · 14 to 15
Oct 14, 2016 to Mar 28, 2017
Discretionary RAUM · $271M to $340M
Oct 14, 2016 to Mar 28, 2017
RAUM · $271M to $340M
Oct 14, 2016 to Mar 28, 2017

Signals

21 dated events

••• Locked
Aug 3, 2026 · Left the SEC roster · derived
••• Locked
Oct 1, 2024 · Control person left · inference
••• Locked
Mar 29, 2024 · Control person left · inference
••• Locked
Mar 29, 2024 · Control person joined · fact
••• Locked
Mar 29, 2024 · Control person joined · fact

Full timeline · 21 events

••• Locked
Mar 29, 2024 · Control person joined · fact
••• Locked
Mar 29, 2024 · Control person joined · fact
••• Locked
Mar 29, 2024 · Control person left · inference
••• Locked
Mar 29, 2024 · Control person left · inference
••• Locked
Jul 13, 2023 · Control person joined · fact
••• Locked
May 1, 2023 · Control person joined · fact
••• Locked
May 1, 2023 · Control person left · inference
••• Locked
Mar 16, 2023 · Control person left · inference
••• Locked
Mar 16, 2023 · RAUM change · derived
••• Locked
Mar 16, 2023 · Control person joined · fact
••• Locked
Mar 16, 2023 · Control person joined · fact
••• Locked
Jun 6, 2022 · Control person joined · fact
••• Locked
Mar 21, 2022 · RAUM change · derived
••• Locked
Mar 21, 2022 · Control person joined · fact
••• Locked
Mar 26, 2018 · RAUM change · derived
••• Locked
Sep 30, 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.

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: Former SEC-registered adviserderiveda 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