DFX Intelligence

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S•••• S•• C•••••• 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 $186M of regulatory assets.

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

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $186M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 299257 · SEC 801-133906 · 2 filingsShow

CRD 299257SEC 801-133906First filing on the tape Jun 18, 2025, latest Mar 26, 2026SEC status approved since Jul 18, 2025IAPD

RAUM

$186M

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

Filed figures over time · the tape starts Jun 18, 2025

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

RAUM$186M as of Mar 26, 2026

Jun 18, 2025$183M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Jun 18, 20250 then

Employees (5.A)4 as of Mar 26, 2026

Jun 18, 20254 then

Private funds1 as of Mar 26, 2026

Jun 18, 20251 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 26, 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: $92.8MderivedRAUM 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: $186M, 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)
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)

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$186M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $186M for 2 clientsreported
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
S•••• S•• C•••••• E••••• F•••• L•	Hedge Fund	$186M	33	Oct 23, 2018

Owners and control persons

Schedule A and B, latest filing

K••••••••• K•••• A•••• · Managing Membercontrol
since 04/2018 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 2 fund-person rows in all

Name	Where	Funds	Filings	Named
K••• K•••••••••executive officer	New York, NY	1	9	Oct 8, 2020 to Oct 10, 2025
S•••• S•• C•••••• G•• L••entitypromoter	New York, NY	1	9	Oct 8, 2020 to Oct 10, 2025

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (1 of 2 here); every other name is as filed and is not joined to anyone.

13F holdings

quarter ended Jun 30, 2026, filed Aug 13, 2026

Reported value: $110M+17.8% on Mar 31, 2026 ($93.0M)reportedsec.gov
Positions: 26 in 26 issuers+4.0% on the quarterreported
Concentration: top 10 issuers 60%, largest 9.5%derivedlargest: Boyd Gaming Corp
Filed as: S•••• S•• C•••••• M••••••••• L••reportedmatched by the 13F filer reports this CRD

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

Assets in custody · $183M to $186M
Jun 18, 2025 to Mar 26, 2026
Discretionary RAUM · $183M to $186M
Jun 18, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $183M to $186M
Jun 18, 2025 to Mar 26, 2026
RAUM · $183M to $186M
Jun 18, 2025 to Mar 26, 2026

Signals

2 dated events

••• Locked
Jun 18, 2025 · ria registration change · fact
••• Locked
Jun 18, 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 26, 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

Across the graphs

S•••• S•• C•••••• M••••••••• L•• is the same institution as 1 record in Allocators.

Allocators1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

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