DFX Intelligence

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A••••••• I••••••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $28.5M of regulatory assets.

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

As of 2026-08-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $28.5M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-08-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

New owner
ownership and control
A••••••• G• L•• appeared on Schedule A as an owner on 10 Aug 2026.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →

Every filed figure, and the identifiersCRD 298114 · SEC 801-134418 · 3 filingsShow

CRD 298114SEC 801-134418First filing on the tape Aug 25, 2025, latest Aug 10, 2026SEC status approved since Dec 9, 2025IAPD

RAUM

$28.5M

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

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

Filed figures over time · the tape starts Aug 25, 2025

Peer group: Asset managers, under $100M, 329 firms

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

RAUM$28.5M as of Aug 10, 2026

Aug 25, 2025$36.2M then

HNW client RAUM$0 as of Aug 10, 2026

Mar 26, 2026$0 then

State-registered IARs (5.B.3)0 as of Aug 10, 2026

Aug 25, 20250 then

Employees (5.A)3 as of Aug 10, 2026

Aug 25, 20252 then

Private funds1 as of Aug 10, 2026

Aug 25, 20251 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Aug 10, 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: $28.5MderivedRAUM 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: unknownderivedbetween 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: $28.5M, 1 clientreportedItem 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

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)
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)
an independent public accountant performs a surprise examination (9.C.1)

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$28.5M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $28.5M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a related bankderived

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
A••••••• M••••• L•	Hedge Fund	$28.5M	5	Aug 10, 2026

Owners and control persons

Schedule A and B, latest filing

D••••••• M••••• S••••• · Chief Executive Officer, Chief Compliance Officer, & Limited Partnercontrol
since 04/2017 · owns 75% or more
T•••• B••••• J••••• · Chief Financial Officercontrol
since 01/2021 · owns less than 5%

Entity owners

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

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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 · 2 to 1
Aug 25, 2025 to Mar 26, 2026
Pooled vehicle clients · 2 to 1
Aug 25, 2025 to Mar 26, 2026
Assets in custody · $25.0M to $28.5M
Aug 25, 2025 to Mar 26, 2026
Employees · 2 to 3
Aug 25, 2025 to Mar 26, 2026
Discretionary RAUM · $25.0M to $28.5M
Aug 25, 2025 to Mar 26, 2026

Full history · 11 changes

HNW RAUM · unset to 0.0
Aug 25, 2025 to Mar 26, 2026
Individual RAUM · unset to 0.0
Aug 25, 2025 to Mar 26, 2026
Non-discretionary RAUM · $11.2M to $0
Aug 25, 2025 to Mar 26, 2026
Pension RAUM · unset to 0.0
Aug 25, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $36.2M to $28.5M
Aug 25, 2025 to Mar 26, 2026
RAUM · $36.2M to $28.5M
Aug 25, 2025 to Mar 26, 2026

Signals

2 dated events

••• Locked
Aug 10, 2026 · private fund first reported · fact
••• Locked
Aug 25, 2025 · First SEC registration · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1), Other link (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Aug 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 10, 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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.