DFX Intelligence

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U••• W••••• C•••••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Woodbury, New York

Former SEC-registered adviser, based in Woodbury, New York, reporting $3.4M of regulatory assets.

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

As of 2019-02-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $3.4M
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2019-02-01 · 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 300177 · SEC 801-114755 · 2 filingsShow

CRD 300177SEC 801-114755First filing on the tape Jan 29, 2019, latest Feb 1, 2019IAPD

RAUM

$3.4M

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

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$5.4M gross assets

History

2 filings and snapshots on the tape

Filed figures over time · the tape starts Jan 29, 2019

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

RAUM$3.4M as of Feb 1, 2019

Jan 29, 2019$3.4M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Feb 1, 2019

Jan 29, 20190 then

Employees (5.A)2 as of Feb 1, 2019

Jan 29, 20192 then

Private funds1 as of Feb 1, 2019

Jan 29, 20191 then

Practice profile

derived from the filing of Feb 1, 2019; 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: $3.4MderivedRAUM 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: unknownderived2 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: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $3.4M, 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.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$3.4M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $3.4M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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
U• W••••• P••••••• L•	Hedge Fund	$5.4M	15	Nov 15, 2017

Owners and control persons

Schedule A and B, latest filing

S••••••••• R•••••• J••••• · Managing Member / Ccocontrol
since 06/2015 · 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
R••••• J••••• S••••••••executive officer	Woodbury, NY	1	4	n/a
U••• W••••• G•• L••entitypromoter	Woodbury, NY	1	4	n/a

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.

Related persons

Schedule D 7.A

S•••••••• F•••••••• C•••••••••
real estatey
U••• W••••• G••••• L••
investment adviseryRAUM $182M

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

1 dated events

••• Locked
Jan 29, 2019 · 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.

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: Former SEC-registered adviserderiveda 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