DFX Intelligence

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F••••••• A•••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered· Greenwich, Connecticutwebsite

Asset manager (funds and pooled vehicles), based in Greenwich, Connecticut, reporting $272M of regulatory assets across 2 registered advisors.

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

As of 2026-08-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $272M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +26%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-08-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+26.1%
RAUM, one year
RAUM $215M to $272M (+26.1%) on the Form ADV filed 5 Aug 2026, while advisors on the filing fell 4 to 3.
The filed advisor count fell, but the IAPD registrations show net 0 in 12 months; the two sources disagree, so read the filing before reading departures into it.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 297384 · SEC 801-122857 · 16 filingsShow

CRD 297384SEC 801-122857First filing on the tape Nov 11, 2021, latest Aug 5, 2026SEC status approved since Dec 14, 2021IAPD

RAUM

$272M

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

$136M

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 +12% a year over three years · the tape starts Nov 11, 2021

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

RAUM$272M as of Aug 5, 2026

Feb 9, 2022$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)3 as of Aug 5, 2026

Feb 9, 20223 then

Employees (5.A)4 as of Aug 5, 2026

Feb 9, 20223 then

Private funds: no history

RAUM +26% over the last fiscal year+12% a year over threeIARs 4 to 3

Practice profile

derived from the filing of Aug 5, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $136MderivedRAUM 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: $272MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +26%derivedbetween the last two annual amendments
Advisor growth, one year: -25%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% investment companies

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

Investment companies$272M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% 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
K•••••••• T•••••••• S•••••••	Greenwich, Ct	Jul 24, 2018	28 y	0
W•••••• L••••••• T••••••	Greenwich, Ct	Nov 1, 2021	15 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••••• K••••••••• T•••••••• · Founder/ Managing Partnercontrol
since 02/2018 · owns 75% or more
T••••••••• T••••• A••• · Coo, Cco And Partnercontrol
since 02/2024 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Greenwich, Ct · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 4 to 3
Feb 4, 2026 to Mar 31, 2026
Advisory activities · 5 to 1
Feb 4, 2026 to Mar 31, 2026
State-registered IARs · 4 to 3
Feb 4, 2026 to Mar 31, 2026
Related adviser · false to true
Feb 4, 2026 to Mar 31, 2026
Business name · F••••••• S••••••••• to F••••••• A•••• M••••••••• L••
Jan 13, 2026 to Feb 4, 2026

Full history · 24 changes

Legal name · F••••••• S•••••••••, LLC to F••••••• A•••• M••••••••• L••
Jan 13, 2026 to Feb 4, 2026
Discretionary RAUM · $215M to $272M
Sep 3, 2025 to Jan 13, 2026
RAUM · $215M to $272M
Sep 3, 2025 to Jan 13, 2026
Employees · 5 to 4
Mar 13, 2024 to Jan 16, 2025
Financial planning clients · unset to
Mar 13, 2024 to Jan 16, 2025
Discretionary RAUM · $209M to $215M
Mar 13, 2024 to Jan 16, 2025
RAUM · $209M to $215M
Mar 13, 2024 to Jan 16, 2025
Employees · 4 to 5
Jul 20, 2023 to Mar 13, 2024
Discretionary RAUM · $192M to $209M
Jul 20, 2023 to Mar 13, 2024
RAUM · $192M to $209M
Jul 20, 2023 to Mar 13, 2024
HQ city · unset to GREENWICH
Mar 2, 2023 to Jul 20, 2023
HQ state · unset to CT
Mar 2, 2023 to Jul 20, 2023
Accounts · 0 to 1
Nov 7, 2022 to Mar 2, 2023
Advisory employees · 3 to 4
Nov 7, 2022 to Mar 2, 2023
Employees · 3 to 4
Nov 7, 2022 to Mar 2, 2023
State-registered IARs · 3 to 4
Nov 7, 2022 to Mar 2, 2023
Discretionary RAUM · $0 to $192M
Nov 7, 2022 to Mar 2, 2023
RAUM · $0 to $192M
Nov 7, 2022 to Mar 2, 2023
Advisory activities · 4 to 5
Mar 25, 2022 to Nov 7, 2022

Signals

7 dated events

••• Locked
Aug 5, 2026 · ria principal change · fact
••• Locked
Aug 5, 2026 · ria indirect owner change · fact
••• Locked
Aug 5, 2026 · ria principal change · derived
••• Locked
Aug 5, 2026 · Control person left · inference
••• Locked
Aug 5, 2026 · ria majority owner change · fact

Full timeline · 7 events

••• Locked
Aug 5, 2026 · ria ownership band change · fact
••• Locked
Nov 11, 2021 · 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, Aug 5, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 5, 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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: $136Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026