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
Y••••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Aug 29, 2018 · 16 filings
SEC status approved since Oct 1, 2018
RAUM
$4.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$4.7B
derived; firm RAUM over IAPD count
Employees
20
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$4.7B as of Mar 31, 2026
Jan 29, 2019$243M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 29, 20190 then
Employees (5.A)20 as of Mar 31, 2026
Jan 29, 20197 then
Private funds2 as of Mar 31, 2026
Jan 29, 20191 then
RAUM +29% over the last fiscal year+49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $4.7BderivedRAUM 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
- $669MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 20.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%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
- $59.5M, 2 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.5M for 2 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• P• M•••• | New York, Ny | Jun 1, 2022 | 22 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Y••••• M••••• F••• L• | Hedge Fund | $2.8B | 111 | Jan 29, 2019 |
| Y••••• E••••••• M••••• F••• L• | Hedge Fund | $0 | 0 | Sep 20, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• R•••••• B••••••• · Chief Operating Officer And Partnercontrolsince 08/2018 · owns 5% to 10%
- F•••••••• L•••• M••• · Chief Compliance Officer, Chief Financial Officercontrolsince 08/2018 · owns less than 5%
- L•••••••• B••••••• J••••• · Partnercontrolsince 09/2021 · owns 5% to 10%
- P•••••• S•••••• J•••• · Partner, Chief Investment Officercontrolsince 08/2018 · owns 50% to 75%
- P•••••• S•••••• J•••• · Managing Membercontrolsince 02/2018 · owns 75% or more of Y••••• C•••••• M••••••••• G• L••
- P•••••• C••••• R••• · Trustee Of S••••• P••••• F••••• T•••• D•••• 3••••••••since 07/2022 · owns 10% to 25%
- P•••••• E••••••••• K•••••• · Trustee Of S••••• P••••• F••••• T•••• D•••• 3••••••••since 07/2022 · owns 10% to 25%
Entity owners
- Y••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- S••••• P••••• F••••• T•••• D•••• 3•••••••• · Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Y••••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Aventura, FL1 employees
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Advisory employees · 11 to 14Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $3.0M to $59.5MMar 28, 2025 to Mar 31, 2026
- Employees · 17 to 20Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.6B to $4.7BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.6B to $4.7BMar 28, 2025 to Mar 31, 2026
- RAUM · $3.6B to $4.7BMar 28, 2025 to Mar 31, 2026
- Advisory employees · 10 to 11Sep 20, 2024 to Mar 28, 2025
- Assets in custody · $1.5M to $3.0MSep 20, 2024 to Mar 28, 2025
- Employees · 15 to 17Sep 20, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 20, 2024 to Mar 28, 2025
- Other offices · 2 to 1Sep 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.8B to $3.6BSep 20, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.8B to $3.6BSep 20, 2024 to Mar 28, 2025
- RAUM · $2.8B to $3.6BSep 20, 2024 to Mar 28, 2025
- Accounts · 3 to 7Mar 28, 2024 to Sep 20, 2024
- Pooled vehicle clients · 3 to 7Mar 28, 2024 to Sep 20, 2024
- Assets in custody · $6.5M to $1.5MMar 28, 2024 to Sep 20, 2024
- Private funds · 1 to 2Mar 28, 2024 to Sep 20, 2024
- Discretionary RAUM · $2.3B to $2.8BMar 28, 2024 to Sep 20, 2024
- Pooled vehicle RAUM · $2.3B to $2.8BMar 28, 2024 to Sep 20, 2024
- RAUM · $2.3B to $2.8BMar 28, 2024 to Sep 20, 2024
- Advisory employees · 8 to 10Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $13.0M to $6.5MMar 31, 2023 to Mar 28, 2024
- Employees · 13 to 15Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $2.3BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $2.3BMar 31, 2023 to Mar 28, 2024
- RAUM · $1.4B to $2.3BMar 31, 2023 to Mar 28, 2024
- Accounts · 4 to 3Aug 30, 2022 to Mar 31, 2023
- Advisory employees · 6 to 8Aug 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 3Aug 30, 2022 to Mar 31, 2023
- Assets in custody · $494M to $13.0MAug 30, 2022 to Mar 31, 2023
- Employees · 9 to 13Aug 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $494M to $1.4BAug 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $6.1M to $0Aug 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $500M to $1.4BAug 30, 2022 to Mar 31, 2023
- RAUM · $500M to $1.4BAug 30, 2022 to Mar 31, 2023
- Advisory employees · 7 to 6Oct 28, 2021 to Mar 31, 2022
- Assets in custody · $334M to $494MOct 28, 2021 to Mar 31, 2022
- Employees · 8 to 9Oct 28, 2021 to Mar 31, 2022
- Other offices · 0 to 2Oct 28, 2021 to Mar 31, 2022
Signals
7 dated events
- Y••••• C•••••• M••••••••• L• reported RAUM $4.7B, up 29% from $3.6B (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Y••••• C•••••• M••••••••• L• reported RAUM $3.6B, up 30% from $2.8B (2024-09-20 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Y••••• C•••••• M••••••••• L• reported RAUM $2.3B, up 62% from $1.4B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Y••••• C•••••• M••••••••• L• reported RAUM $1.4B, up 185% from $499.9M (2022-08-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Y••••• C•••••• M••••••••• L• reported RAUM $499.9M, up 50% from $333.6M (2021-10-28 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Joshua Brandon Lebowitz (Partner) appeared on Schedule A of Y••••• C•••••• M••••••••• L•Oct 28, 2021 · Control person joined · fact
- Y••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Aug 29, 2018 · 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
- yauponcap.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-755-3825reportedpublic 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
- $4.7Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026