DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

A•• V•••••• C•••••• M••••••••• F••• L••

Asset manager (funds and pooled vehicles)Hauppauge, New YorkCRD 298029SEC 801-136894IAPD
Latest filing Aug 11, 2026
First filing on the tape Aug 11, 2026 · 1 filings
SEC status approved since Aug 5, 2026
RAUM
$786M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $786M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 2
Private funds: 14
Practice profile
derived from the filing of Aug 11, 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
$56.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • 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$786M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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 departureEvery arrival
      Private funds
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• V•••••• C•••••• F••• I• L••no longer reportedHedge Fund$33.4M95Mar 18, 2019
      2••• T••••••• P•••••••• F••• L••Hedge Fund$19.0M892•••-03-29
      2••• S•••• E••••••••• F••• L••Hedge Fund$18.1M77Mar 30, 2023
      A•• F•••••• I••••••• F••• L••Hedge Fund$14.8M972•••-03-24
      2••• S••••••• F••• L••Hedge Fund$13.4M992•••-03-29
      2••• C••••••••• F••• L••Hedge Fund$12.1M952•••-03-29
      A•• A•••••••• D•••••• F••• L••Hedge Fund$11.8M992•••-03-24
      A•• 2••• T••••••• S••••••••• F••• L••Hedge Fund$10.5M982•••-03-24
      2••• L•••••••• F••• L••Hedge Fund$10.1M922•••-03-29
      A•• S•••••• O••••••••• F••• L••no longer reportedHedge Fund$7.4M45Nov 16, 2018
      2••• E•••• S•••• O••••••••• F••• L••Hedge Fund$5.5M472•••-03-29
      A•• C•••• S••••••• F••• L••Hedge Fund$4.2M722•••-03-24
      2••• F•••••• I••••••• F••• L••Hedge Fund$4.0M502•••-03-29
      A•• V•••••• C•••••• F••• L••Hedge Fund$2.8M97Nov 16, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• A••••••• M•••••• · Managing Membercontrol
        since 09/2024 · owns 50% to 75%
      • S•••••• A••••••• P••••• · Cco, Managing Membercontrol
        since 09/2017 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list A•• V•••••• C•••••• M••••••••• F••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Aug 11, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (784 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: asset managers, $500M to $1B (784) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      631-870-3090reportedpublic record, Form ADV, Aug 11, 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