DFX Intelligence

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D••••• C•••••• L•

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $1.5B of regulatory assets.

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

As of 2026-03-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.5B
Advisors: 0
RAUM change, 1 year: +6.5%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 19 Mar 2026, RAUM $1.38B to $1.46B (+6.5%) on the Form ADV filed 19 Mar 2026.

Every filed figure, and the identifiersCRD 300823 · SEC 801-115073 · 12 filingsShow

CRD 300823SEC 801-115073First filing on the tape Mar 26, 2019, latest Mar 19, 2026SEC status approved since Apr 25, 2019IAPD

RAUM

$1.5B

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

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM +23% a year over three years · the tape starts Mar 26, 2019

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

RAUM$1.5B as of Mar 19, 2026

Mar 30, 2020$396M then

HNW client RAUM: $0

State-registered IARs (5.B.3)0 as of Mar 19, 2026

Mar 30, 20200 then

Employees (5.A)9 as of Mar 19, 2026

Mar 30, 20208 then

Private funds2 as of Mar 19, 2026

Mar 30, 20201 then

RAUM +6.5% over the last fiscal year+23% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 19, 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: $293MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 11%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: +6.5%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $1.3B, 4 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

89% pooled investment vehicles, 11% state and municipal entities

The breakdown by client type, and the client counts2 client typesShow

Pooled investment vehicles$1.3B89%
State and municipal entities$159M11%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.3B for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 89% pooled funds, 11% institutions; no related broker-dealer; no 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

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
D••••• M••••• F••• L•••	Hedge Fund	$1.3B	57	Aug 22, 2019
D••••• O••••••••• F••• I• L•no longer reported	Hedge Fund	$14.8M	5	Mar 30, 2022
D••••• O••••••••• F••• I• L•	Hedge Fund	$13.2M	8	Mar 19, 2026

Owners and control persons

Schedule A and B, latest filing

A••••••••• M••••••• R•••• · Chief Compliance Officer/Cfo/Coocontrol
since 07/2018 · owns less than 5%
L•••••• M••••••• A••••• · Cio/Limited Partnercontrol
since 07/2018 · owns 75% or more
L•••••• M••••••• A••••• · Managing Membercontrol
since 07/2018 · owns 75% or more of D••••• C•••••• G• L••

Entity owners

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

Related persons

Schedule D 7.A

D••••• A••••••• L••
investment adviserpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 4 to 5
Sep 30, 2025 to Mar 19, 2026
Assets in custody · $1.1B to $1.3B
Sep 30, 2025 to Mar 19, 2026
Employees · 8 to 9
Sep 30, 2025 to Mar 19, 2026
Discretionary RAUM · $1.4B to $1.5B
Sep 30, 2025 to Mar 19, 2026
Pooled vehicle RAUM · $1.1B to $1.3B
Sep 30, 2025 to Mar 19, 2026

Full history · 67 changes

RAUM · $1.4B to $1.5B
Sep 30, 2025 to Mar 19, 2026
Related adviser · true to false
Sep 30, 2025 to Mar 19, 2026
Accounts · 4 to 5
Mar 27, 2024 to Mar 28, 2025
Pooled vehicle clients · 3 to 4
Mar 27, 2024 to Mar 28, 2025
Assets in custody · $1.1B to $1.1B
Mar 27, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 28, 2025
Private funds · 1 to 2
Mar 27, 2024 to Mar 28, 2025
Discretionary RAUM · $1.3B to $1.4B
Mar 27, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $1.1B to $1.1B
Mar 27, 2024 to Mar 28, 2025
RAUM · $1.3B to $1.4B
Mar 27, 2024 to Mar 28, 2025
Assets in custody · $640M to $1.1B
Mar 30, 2023 to Mar 27, 2024
Discretionary RAUM · $779M to $1.3B
Mar 30, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $640M to $1.1B
Mar 30, 2023 to Mar 27, 2024
RAUM · $779M to $1.3B
Mar 30, 2023 to Mar 27, 2024
Accounts · 5 to 4
Oct 26, 2022 to Mar 30, 2023
Pooled vehicle clients · 4 to 3
Oct 26, 2022 to Mar 30, 2023
Assets in custody · $808M to $640M
Oct 26, 2022 to Mar 30, 2023
Employees · 9 to 8
Oct 26, 2022 to Mar 30, 2023
Private funds · 2 to 1
Oct 26, 2022 to Mar 30, 2023
Discretionary RAUM · $1.1B to $779M
Oct 26, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $808M to $640M
Oct 26, 2022 to Mar 30, 2023
RAUM · $1.1B to $779M
Oct 26, 2022 to Mar 30, 2023
Accounts · 4 to 5
Jul 7, 2021 to Mar 30, 2022
Pooled vehicle clients · 3 to 4
Jul 7, 2021 to Mar 30, 2022
Assets in custody · $520M to $808M
Jul 7, 2021 to Mar 30, 2022
Employees · 7 to 9
Jul 7, 2021 to Mar 30, 2022
Private funds · 1 to 2
Jul 7, 2021 to Mar 30, 2022
Discretionary RAUM · $568M to $1.1B
Jul 7, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $520M to $808M
Jul 7, 2021 to Mar 30, 2022
RAUM · $568M to $1.1B
Jul 7, 2021 to Mar 30, 2022
Accounts · 3 to 4
Mar 30, 2020 to Mar 31, 2021
Advisory activities · 1 to 2
Mar 30, 2020 to Mar 31, 2021
Charity clients · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
Corporate clients · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
HNW clients · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
Individual clients · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
Pension plan clients · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
Assets in custody · $396M to $520M
Mar 30, 2020 to Mar 31, 2021
Employees · 8 to 7
Mar 30, 2020 to Mar 31, 2021
Discretionary RAUM · $396M to $568M
Mar 30, 2020 to Mar 31, 2021
HNW RAUM · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
Individual RAUM · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
Pension RAUM · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $396M to $520M
Mar 30, 2020 to Mar 31, 2021
RAUM · $396M to $568M
Mar 30, 2020 to Mar 31, 2021
Assets in custody · $303M to $396M
Aug 22, 2019 to Mar 30, 2020
Employees · 7 to 8
Aug 22, 2019 to Mar 30, 2020
Discretionary RAUM · $303M to $396M
Aug 22, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $303M to $396M
Aug 22, 2019 to Mar 30, 2020
RAUM · $303M to $396M
Aug 22, 2019 to Mar 30, 2020
Employees · 4 to 7
Mar 26, 2019 to Aug 22, 2019
Private funds · unset to 1
Mar 26, 2019 to Aug 22, 2019
Discretionary RAUM · unset to 303446526.0
Mar 26, 2019 to Aug 22, 2019
Non-discretionary RAUM · unset to 0.0
Mar 26, 2019 to Aug 22, 2019
Pooled vehicle RAUM · $0 to $303M
Mar 26, 2019 to Aug 22, 2019
RAUM · unset to 303446526.0
Mar 26, 2019 to Aug 22, 2019
Related bank · true to false
Mar 26, 2019 to Aug 22, 2019
Accounts · unset to 3.0
Mar 26, 2019 to Aug 22, 2019
Advisory employees · 3 to 4
Mar 26, 2019 to Aug 22, 2019
Pooled vehicle clients · 0 to 3
Mar 26, 2019 to Aug 22, 2019
Assets in custody · $0 to $303M
Mar 26, 2019 to Aug 22, 2019
Custody of client assets · false to true
Mar 26, 2019 to Aug 22, 2019

Signals

6 dated events

••• Locked
Mar 19, 2026 · private fund first reported · fact
••• Locked
Mar 27, 2024 · RAUM change · derived
••• Locked
Mar 30, 2023 · RAUM change · derived
••• Locked
Mar 30, 2022 · RAUM change · derived
••• Locked
Mar 31, 2021 · RAUM change · derived

Full timeline · 6 events

••• Locked
Mar 26, 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 19, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 19, 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.