DFX Intelligence

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L•••••• C•••••• M••••••••• 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 $265M of regulatory assets.

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

As of 2026-07-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $265M
Advisors: 0
RAUM change, 1 year: -13%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-07-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-13.2%
RAUM, one year
RAUM $305M to $265M (-13.2%) on the Form ADV filed 20 Jul 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 305403 · SEC 801-118301 · 15 filingsShow

CRD 305403SEC 801-118301First filing on the tape Feb 24, 2020, latest Jul 20, 2026SEC status approved since Mar 25, 2020IAPD

RAUM

$265M

reported, Item 5.F

Discretionary

83%

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

15 filings and snapshots on the tape

RAUM -1.2% a year over three years · the tape starts Feb 24, 2020

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

RAUM$265M as of Jul 20, 2026

Mar 31, 2021$117M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 20, 2026

Mar 31, 20210 then

Employees (5.A)6 as of Jul 20, 2026

Mar 31, 20214 then

Private funds2 as of Jul 20, 2026

Mar 31, 20212 then

RAUM -13% over the last fiscal year-1.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 20, 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: $44.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 83%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: -13%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: $221M, 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

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)
marketing includes hypothetical performance (5.L.3)

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$221M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $221M for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 83% pooled funds, 0% 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

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

Fund	Type	Gross assets	Owners	First reported
L•••••• C•••••• S•••••• O••••••••• M••••• F••• L•	Hedge Fund	$221M	68	Feb 24, 2020
L•• S•• I• L•	Hedge Fund	$0	0	Feb 24, 2020

Owners and control persons

Schedule A and B, latest filing

G•••••••• P•••••• V••••• · Ciocontrol
since 08/2019 · owns 75% or more
S••••••• J•••••• D• · Cfo/Ccocontrol
since 12/2019 · owns less than 5%
G•••••••• P•••••• V••••• · Owner/Managing Member
since 08/2019 · owns 75% or more of L•••••• C•••••• L••

Entity owners

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

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 1 fund-person rows in all

Name	Where	Funds	Filings	Named
L•••••• C•••••• G• L••entityexecutive officer	New York, NY	1	6	May 18, 2021 to Sep 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 (0 of 1 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

L•••••• C•••••• G• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 4 to 3
May 16, 2025 to Mar 31, 2026
Assets in custody · $280M to $221M
May 16, 2025 to Mar 31, 2026
Employees · 7 to 6
May 16, 2025 to Mar 31, 2026
Discretionary RAUM · $280M to $221M
May 16, 2025 to Mar 31, 2026
Non-discretionary RAUM · $25.1M to $43.9M
May 16, 2025 to Mar 31, 2026

Full history · 57 changes

Pooled vehicle RAUM · $280M to $221M
May 16, 2025 to Mar 31, 2026
RAUM · $305M to $265M
May 16, 2025 to Mar 31, 2026
Related bank · true to false
May 16, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 20, 2025 to May 16, 2025
Accounts · 5 to 6
May 1, 2024 to Mar 20, 2025
Assets in custody · $219M to $280M
May 1, 2024 to Mar 20, 2025
Discretionary RAUM · $219M to $280M
May 1, 2024 to Mar 20, 2025
Non-discretionary RAUM · $6.9M to $25.1M
May 1, 2024 to Mar 20, 2025
Pooled vehicle RAUM · $219M to $280M
May 1, 2024 to Mar 20, 2025
RAUM · $225M to $305M
May 1, 2024 to Mar 20, 2025
Assets in custody · $254M to $219M
Dec 5, 2023 to Mar 27, 2024
Discretionary RAUM · $254M to $219M
Dec 5, 2023 to Mar 27, 2024
Non-discretionary RAUM · $21.4M to $6.9M
Dec 5, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $254M to $219M
Dec 5, 2023 to Mar 27, 2024
RAUM · $275M to $225M
Dec 5, 2023 to Mar 27, 2024
Assets in custody · $222M to $254M
May 3, 2022 to Mar 15, 2023
Other offices · 1 to 0
May 3, 2022 to Mar 15, 2023
Discretionary RAUM · $222M to $254M
May 3, 2022 to Mar 15, 2023
Non-discretionary RAUM · $17.8M to $21.4M
May 3, 2022 to Mar 15, 2023
Pooled vehicle RAUM · $222M to $254M
May 3, 2022 to Mar 15, 2023
RAUM · $240M to $275M
May 3, 2022 to Mar 15, 2023
Assets in custody · $223M to $222M
Mar 31, 2022 to May 3, 2022
Other offices · 0 to 1
Mar 31, 2022 to May 3, 2022
Discretionary RAUM · $223M to $222M
Mar 31, 2022 to May 3, 2022
Pooled vehicle RAUM · $223M to $222M
Mar 31, 2022 to May 3, 2022
RAUM · $241M to $240M
Mar 31, 2022 to May 3, 2022
Advisory employees · 3 to 4
Oct 25, 2021 to Mar 31, 2022
Assets in custody · $105M to $223M
Oct 25, 2021 to Mar 31, 2022
Employees · 4 to 7
Oct 25, 2021 to Mar 31, 2022
Discretionary RAUM · $196M to $223M
Oct 25, 2021 to Mar 31, 2022
Non-discretionary RAUM · $15.5M to $17.8M
Oct 25, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $196M to $223M
Oct 25, 2021 to Mar 31, 2022
RAUM · $211M to $241M
Oct 25, 2021 to Mar 31, 2022
Discretionary RAUM · $117M to $196M
Mar 31, 2021 to Oct 25, 2021
Non-discretionary RAUM · $0 to $15.5M
Mar 31, 2021 to Oct 25, 2021
Pooled vehicle RAUM · $105M to $196M
Mar 31, 2021 to Oct 25, 2021
RAUM · $117M to $211M
Mar 31, 2021 to Oct 25, 2021
Accounts · 4 to 5
Jul 23, 2020 to Mar 31, 2021
Assets in custody · $51.5M to $105M
Jul 23, 2020 to Mar 31, 2021
Discretionary RAUM · $51.5M to $117M
Jul 23, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $51.5M to $105M
Jul 23, 2020 to Mar 31, 2021
RAUM · $51.5M to $117M
Jul 23, 2020 to Mar 31, 2021
Accounts · unset to 4.0
Feb 24, 2020 to Jul 23, 2020
Advisory employees · 2 to 3
Feb 24, 2020 to Jul 23, 2020
Pooled vehicle clients · 3 to 4
Feb 24, 2020 to Jul 23, 2020
Assets in custody · unset to 51459241.0
Feb 24, 2020 to Jul 23, 2020
Custody of client assets · false to true
Feb 24, 2020 to Jul 23, 2020
Employees · 3 to 4
Feb 24, 2020 to Jul 23, 2020
Discretionary RAUM · unset to 51459241.0
Feb 24, 2020 to Jul 23, 2020
Non-discretionary RAUM · unset to 0.0
Feb 24, 2020 to Jul 23, 2020
Pooled vehicle RAUM · $0 to $51.5M
Feb 24, 2020 to Jul 23, 2020
RAUM · unset to 51459241.0
Feb 24, 2020 to Jul 23, 2020

Signals

3 dated events

••• Locked
Jul 20, 2026 · ria principal change · derived
••• Locked
Jul 20, 2026 · Control person left · inference
••• Locked
Feb 24, 2020 · 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, Jul 20, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 20, 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.