DFX Intelligence

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Former SEC-registered adviser

A••••• G••••• P•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 304944SEC 801-117175IAPD

Latest filing Apr 27, 2023

First filing on the tape Jul 16, 2019 · 12 filings

RAUM

$479M

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

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$49.4M gross assets

History

12 filings and snapshots on the tape

RAUM$479M as of Mar 31, 2023

Mar 27, 2020$162M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2023

Mar 27, 20200 then

Employees (5.A)4 as of Mar 31, 2023

Mar 27, 20207 then

Private funds2 as of Mar 31, 2023

Mar 27, 20201 then

RAUM +220% over the last fiscal year+44% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 27, 2023; every figure names its basis

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: $79.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 90%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +220%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
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

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)
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

Sovereign wealth funds$353M74%
Charitable organizations$76.3M16%
Pooled investment vehicles$49.4M10%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A••••• G••••• P••••••• M•••••• L•	Hedge Fund	$48.2M	36	Jul 16, 2019
A••••• S•••••• O••••••••• F••• I• L••	Hedge Fund	$1.2M	9	Mar 15, 2022

Owners and control persons

Schedule A and B, latest filing

H••••••••• P••••• D•••• · Chief Compliance Officercontrol
since 07/2022 · owns less than 5%
K••••••• A•••• F•••••• · Chief Investment Officer / Membercontrol
since 05/2018 · owns 75% or more
K••••••• A•••• F•••••• · Membercontrol
since 05/2018 · owns 75% or more of A••••• G••••• P••••••• M••••••• L••

Entity owners

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

Related persons

Schedule D 7.A

A••••• G••••• P••••••• G•••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory activities · 1 to 2
Sep 2, 2022 to Mar 31, 2023
Custody of client assets · true to false
Sep 2, 2022 to Mar 31, 2023
Employees · 5 to 4
Sep 2, 2022 to Mar 31, 2023
Discretionary RAUM · $481M to $479M
Sep 2, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $41.8M to $49.4M
Sep 2, 2022 to Mar 31, 2023
RAUM · $481M to $479M
Sep 2, 2022 to Mar 31, 2023
Accounts · 5 to 6
Mar 15, 2022 to Sep 2, 2022
Charity clients · unset to 1.0
Mar 15, 2022 to Sep 2, 2022
Pooled vehicle clients · 5 to 4
Mar 15, 2022 to Sep 2, 2022
Discretionary RAUM · $150M to $481M
Mar 15, 2022 to Sep 2, 2022
Pooled vehicle RAUM · $150M to $41.8M
Mar 15, 2022 to Sep 2, 2022
RAUM · $150M to $481M
Mar 15, 2022 to Sep 2, 2022
Related bank · true to false
Mar 15, 2022 to Sep 2, 2022
Advisory employees · 5 to 4
Mar 23, 2021 to Mar 15, 2022
Employees · 6 to 5
Mar 23, 2021 to Mar 15, 2022
Private funds · 1 to 2
Mar 23, 2021 to Mar 15, 2022
Discretionary RAUM · $140M to $150M
Mar 23, 2021 to Mar 15, 2022
Pooled vehicle RAUM · $140M to $150M
Mar 23, 2021 to Mar 15, 2022
RAUM · $140M to $150M
Mar 23, 2021 to Mar 15, 2022
Accounts · 4 to 5
Dec 9, 2020 to Mar 23, 2021
Advisory employees · 6 to 5
Dec 9, 2020 to Mar 23, 2021
Pooled vehicle clients · 4 to 5
Dec 9, 2020 to Mar 23, 2021
Employees · 7 to 6
Dec 9, 2020 to Mar 23, 2021
Discretionary RAUM · $162M to $140M
Dec 9, 2020 to Mar 23, 2021
Pooled vehicle RAUM · $162M to $140M
Dec 9, 2020 to Mar 23, 2021
RAUM · $162M to $140M
Dec 9, 2020 to Mar 23, 2021
Discretionary RAUM · $151M to $162M
Nov 19, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $151M to $162M
Nov 19, 2019 to Mar 27, 2020
RAUM · $151M to $162M
Nov 19, 2019 to Mar 27, 2020
Accounts · 3 to 4
Sep 20, 2019 to Nov 14, 2019
Pooled vehicle clients · 3 to 4
Sep 20, 2019 to Nov 14, 2019
Discretionary RAUM · $53.0M to $151M
Sep 20, 2019 to Nov 14, 2019
Pooled vehicle RAUM · $53.0M to $151M
Sep 20, 2019 to Nov 14, 2019
RAUM · $53.0M to $151M
Sep 20, 2019 to Nov 14, 2019

Signals

5 dated events

A••••• G••••• P•••••••• L• reported RAUM $480.8M, up 221% from $149.8M (2022-03-15 to 2022-09-02)
Sep 2, 2022 · RAUM change · derived
Shameel Ahmad Syed Danish (Chief Operating Officer / Chief Compliance Officer) no longer on Schedule A of A••••• G••••• P•••••••• L• (listed 2022-03-15, absent 2022-09-02)
Sep 2, 2022 · Control person left · inference
David Peter Henninger (Chief Compliance Officer) appeared on Schedule A of A••••• G••••• P•••••••• L•
Sep 2, 2022 · Control person joined · fact
Khalid Asad Rahman (Member) no longer on Schedule A of A••••• G••••• P•••••••• L• (listed 2020-12-09, absent 2021-03-23)
Mar 23, 2021 · Control person left · inference
A••••• G••••• P•••••••• L• filed its initial SEC registration (Form ADV)
Jul 16, 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

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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026