DFX Intelligence

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F• C•••••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser1 private funds· Nassau

Former SEC-registered adviser, based in Nassau, reporting $293M of regulatory assets.

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

As of 2021-02-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $293M
RAUM change, last fiscal year: +73%
Private clients: 51% of RAUM, $150M

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2021-02-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 9 Feb 2021, RAUM $169M to $293M (+73.3%) on the Form ADV filed 9 Feb 2021, while advisors on the filing rose 1 to 1.

Every filed figure, and the identifiersCRD 290144 · SEC 801-112096 · 8 filingsShow

CRD 290144SEC 801-112096First filing on the tape Oct 31, 2017, latest Feb 9, 2021IAPD

RAUM

$293M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

51%

$150M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +73% over the last fiscal year · the tape starts Oct 31, 2017

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

RAUM$293M as of Feb 9, 2021

Mar 19, 2019$210M then

HNW client RAUM$150M as of Feb 9, 2021

Mar 19, 2019$0 then

State-registered IARs (5.B.3)1 as of Feb 9, 2021

Mar 19, 20191 then

Employees (5.A)3 as of Feb 9, 2021

Mar 19, 20193 then

Private funds1 as of Feb 9, 2021

Mar 19, 20191 then

RAUM +73% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Feb 9, 2021; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $293MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 62derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +73%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -18%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehicles, 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

51% high-net-worth individuals, 45% pooled investment vehicles, and 1 other client type

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

High-net-worth individuals$150M51%
Pooled investment vehicles$133M45%
Other investment advisers$10.0M3.4%

Individual clients: 0reported
HNW clients: 62reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 82reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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

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

Fund	Type	Gross assets	Owners	First reported
F• C•••••• F•••• L••	Hedge Fund	$154M	64	Oct 31, 2017

Owners and control persons

Schedule A and B, latest filing

F••••••• E••••••• N•• · Analyst, Co-Portfolio Manager And Cfocontrol
since 03/2015 · owns 25% to 50%
F••••••• J••••• N•• · Chief Investment Officer And Portfolio Managercontrol
since 03/2015 · owns 25% to 50%
K••••••••• R••••• N•• · Presidentcontrol
since 05/2015 · owns 25% to 50%
B••• A••• G••••••• · Chief Compliance Officer
since 11/2020 · owns less than 5%

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

Accounts · 77 to 82
Jan 27, 2021 to Feb 9, 2021
HNW clients · 76 to 62
Jan 27, 2021 to Feb 9, 2021
Discretionary RAUM · $169M to $293M
Jan 27, 2021 to Feb 9, 2021
HNW RAUM · $82.0M to $150M
Jan 27, 2021 to Feb 9, 2021
Pooled vehicle RAUM · $77.0M to $133M
Jan 27, 2021 to Feb 9, 2021

Full history · 32 changes

RAUM · $169M to $293M
Jan 27, 2021 to Feb 9, 2021
Advisory activities · 2 to 3
Jan 6, 2021 to Jan 27, 2021
Accounts · 65 to 77
Mar 19, 2019 to Mar 30, 2020
HNW clients · 30 to 76
Mar 19, 2019 to Mar 30, 2020
Individual clients · 5 to 0
Mar 19, 2019 to Mar 30, 2020
Other offices · 1 to 0
Mar 19, 2019 to Mar 30, 2020
Discretionary RAUM · $210M to $169M
Mar 19, 2019 to Mar 30, 2020
HNW RAUM · $0 to $82.0M
Mar 19, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $210M to $77.0M
Mar 19, 2019 to Mar 30, 2020
RAUM · $210M to $169M
Mar 19, 2019 to Mar 30, 2020
Accounts · 0 to 65
Dec 21, 2018 to Mar 19, 2019
Charity clients · unset to 0.0
Dec 21, 2018 to Mar 19, 2019
Corporate clients · unset to 0.0
Dec 21, 2018 to Mar 19, 2019
HNW clients · unset to 30.0
Dec 21, 2018 to Mar 19, 2019
Individual clients · unset to 5.0
Dec 21, 2018 to Mar 19, 2019
Pension plan clients · unset to 0.0
Dec 21, 2018 to Mar 19, 2019
Pooled vehicle clients · unset to 1.0
Dec 21, 2018 to Mar 19, 2019
Discretionary RAUM · $0 to $210M
Dec 21, 2018 to Mar 19, 2019
HNW RAUM · unset to 0.0
Dec 21, 2018 to Mar 19, 2019
Individual RAUM · unset to 0.0
Dec 21, 2018 to Mar 19, 2019
Pension RAUM · unset to 0.0
Dec 21, 2018 to Mar 19, 2019
Pooled vehicle RAUM · unset to 210000000.0
Dec 21, 2018 to Mar 19, 2019
RAUM · $0 to $210M
Dec 21, 2018 to Mar 19, 2019
Advisory employees · 1 to 2
Jan 31, 2018 to Dec 21, 2018
Advisory activities · 1 to 2
Jan 31, 2018 to Dec 21, 2018
Employees · 1 to 3
Jan 31, 2018 to Dec 21, 2018
Organization form · Limited Partnership to Corporation
Oct 31, 2017 to Jan 31, 2018

Signals

3 dated events

••• Locked
May 13, 2021 · ria registration change · fact
••• Locked
Feb 9, 2021 · RAUM change · derived
••• Locked
Oct 31, 2017 · 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