DFX Intelligence

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SEC-registered adviser

A••••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)Westport, ConnecticutCRD 291783SEC 801-118572website IAPD

Latest filing Mar 31, 2026

First filing on the tape Mar 28, 2020 · 9 filings

SEC status approved since Apr 27, 2020

RAUM

$359M

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

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$359M as of Mar 31, 2026

Mar 30, 2021$355M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 30, 20210 then

Employees (5.A)7 as of Mar 31, 2026

Mar 30, 20215 then

Private funds1 as of Mar 31, 2026

Mar 30, 20211 then

RAUM -26% over the last fiscal year-16% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: $120MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year: -26%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 vehiclesreportedItem 5.G
Custody: $119M, 1 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$359M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $119M for 1 clientsreported
Compensation: % of AUM, 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

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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
N••••• R•••• C•••••• P••••••• M••••• F•••• L•••	Hedge Fund	$590M	72	Jan 19, 2018

Owners and control persons

Schedule A and B, latest filing

P•••• R••••••• R••••••• · Chief Compliance Officer/Chief Financial Officercontrol
since 01/2018 · owns less than 5%
T••••••••• R••••• C•••••• · Managing Member/Limited Partnercontrol
since 12/2015 · owns 75% or more
T••••••••• R••••• C•••••• · Owner/Managing Member
since 12/2015 · owns 75% or more of A••••• C•••••• M••••••••• G•• L••

Entity owners

A••••• C•••••• M••••••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

N••••• R•••• C•••••• P••••••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Jan 29, 2026 to Mar 31, 2026
Assets in custody · $130M to $119M
Jan 29, 2026 to Mar 31, 2026
Discretionary RAUM · $483M to $359M
Jan 29, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $423M to $359M
Jan 29, 2026 to Mar 31, 2026
RAUM · $483M to $359M
Jan 29, 2026 to Mar 31, 2026
Assets in custody · $165M to $130M
Mar 28, 2024 to Mar 31, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $653M to $483M
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $590M to $423M
Mar 28, 2024 to Mar 31, 2025
RAUM · $653M to $483M
Mar 28, 2024 to Mar 31, 2025
Advisory employees · 3 to 4
Mar 31, 2023 to Mar 28, 2024
Assets in custody · $140M to $165M
Mar 31, 2023 to Mar 28, 2024
Employees · 6 to 7
Mar 31, 2023 to Mar 28, 2024
Discretionary RAUM · $599M to $653M
Mar 31, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $534M to $590M
Mar 31, 2023 to Mar 28, 2024
RAUM · $599M to $653M
Mar 31, 2023 to Mar 28, 2024
Assets in custody · $165M to $140M
Mar 31, 2022 to Mar 31, 2023
Employees · 5 to 6
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · $614M to $599M
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $545M to $534M
Mar 31, 2022 to Mar 31, 2023
RAUM · $614M to $599M
Mar 31, 2022 to Mar 31, 2023
Succession · true to false
Mar 31, 2022 to Mar 31, 2023
Assets in custody · $179M to $165M
Mar 30, 2021 to Mar 31, 2022
Organization form · Limited Partnership to Corporation
Mar 30, 2021 to Mar 31, 2022
Discretionary RAUM · $355M to $614M
Mar 30, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $288M to $545M
Mar 30, 2021 to Mar 31, 2022
RAUM · $355M to $614M
Mar 30, 2021 to Mar 31, 2022
Succession · false to true
Mar 30, 2021 to Mar 31, 2022
Accounts · 3 to 4
Jun 30, 2020 to Mar 30, 2021
Assets in custody · $154M to $179M
Jun 30, 2020 to Mar 30, 2021
HQ city · GREENWICH to WESTPORT
Jun 30, 2020 to Mar 30, 2021
Discretionary RAUM · $154M to $355M
Jun 30, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $154M to $288M
Jun 30, 2020 to Mar 30, 2021
RAUM · $154M to $355M
Jun 30, 2020 to Mar 30, 2021
HQ city · NEW YORK to GREENWICH
Mar 28, 2020 to Jun 30, 2020
HQ state · NY to CT
Mar 28, 2020 to Jun 30, 2020
Private funds · 2 to 1
Mar 28, 2020 to Jun 30, 2020

Signals

6 dated events

A••••• C•••••• M••••••••• L• reported RAUM $358.6M, down 26% from $482.6M (2026-01-29 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
A••••• C•••••• M••••••••• L• reported RAUM $482.6M, down 26% from $653.2M (2024-03-28 to 2025-03-31)
Mar 31, 2025 · RAUM change · derived
A••••• C•••••• M••••••••• L• reported RAUM $614.4M, up 73% from $355.3M (2021-03-30 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
A••••• C•••••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 31, 2022 · Succession (Item 4) · fact
A••••• C•••••• M••••••••• L• reported RAUM $355.3M, up 131% from $154.0M (2020-06-30 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
A••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
Mar 28, 2020 · 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: a•••••••••.comreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: 646-779-6400reportedpublic record, Form ADV, Mar 31, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026