DFX Intelligence

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U••••••• I••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered3 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $574M of regulatory assets.

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

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $574M
Advisors: 0
RAUM change, 1 year: -10%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 18 Mar 2026, 1 control person joined and 1 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 306357 · SEC 801-118330 · 10 filingsShow

CRD 306357SEC 801-118330First filing on the tape Feb 27, 2020, latest Mar 18, 2026SEC status approved since Mar 27, 2020IAPD

RAUM

$574M

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

10 filings and snapshots on the tape

RAUM +3.8% a year over three years · the tape starts Feb 27, 2020

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

RAUM$574M as of Mar 18, 2026

Mar 23, 2021$455M then

HNW client RAUM$0 as of Mar 18, 2026

Mar 23, 2021$0 then

State-registered IARs (5.B.3)0 as of Mar 18, 2026

Mar 23, 20210 then

Employees (5.A)10 as of Mar 18, 2026

Mar 23, 202111 then

Private funds3 as of Mar 18, 2026

Mar 23, 20211 then

RAUM -10% over the last fiscal year+3.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 18, 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: $115MderivedRAUM 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: -10%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: $574M, 5 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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$574M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $574M for 5 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% 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

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

Fund	Type	Gross assets	Owners	First reported
U••••••• M••••• F•••• L•	Hedge Fund	$540M	61	Jul 17, 2020
U••• I••••••••• • I•• L•	Hedge Fund	$31.4M	6	Mar 21, 2022
U••• I••••••••• • I••• L•no longer reported	Hedge Fund	$11.6M	1	Mar 21, 2022
U••• I••••••••• • I• L•	Hedge Fund	$3.0M	2	Mar 21, 2022

Owners and control persons

Schedule A and B, latest filing

A••••••••• A•••• D•••• · Chief Compliance Officer/Chief Financial Officercontrol
since 11/2019 · owns less than 5%
C••••••• N•••••• S••••••••• · General Partner And Chief Executive Officercontrol
since 11/2019 · owns 25% to 50%
C••••••• N•••••• S••••••••• · Sole Trustee And Sole Owner Of T•• F•• C•••• T••••control
since 07/2019 · owns 75% or more of T•• F•• C•••• T••••

Entity owners

T•• F•• C•••• T•••• · Limited Partner
direct · owns 75% or more

Related persons

Schedule D 7.A

U••••••• H•••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $641M to $574M
Dec 18, 2025 to Mar 18, 2026
Employees · 11 to 10
Dec 18, 2025 to Mar 18, 2026
Discretionary RAUM · $641M to $574M
Dec 18, 2025 to Mar 18, 2026
Pooled vehicle RAUM · $641M to $574M
Dec 18, 2025 to Mar 18, 2026
RAUM · $641M to $574M
Dec 18, 2025 to Mar 18, 2026

Full history · 47 changes

Accounts · 6 to 5
Mar 21, 2024 to Apr 10, 2025
Pooled vehicle clients · 6 to 5
Mar 21, 2024 to Apr 10, 2025
Assets in custody · $599M to $641M
Mar 21, 2024 to Apr 10, 2025
Employees · 12 to 11
Mar 21, 2024 to Apr 10, 2025
Financial planning clients · unset to
Mar 21, 2024 to Apr 10, 2025
Private funds · 4 to 3
Mar 21, 2024 to Apr 10, 2025
Discretionary RAUM · $599M to $641M
Mar 21, 2024 to Apr 10, 2025
Pooled vehicle RAUM · $599M to $641M
Mar 21, 2024 to Apr 10, 2025
RAUM · $599M to $641M
Mar 21, 2024 to Apr 10, 2025
Assets in custody · $513M to $599M
Mar 27, 2023 to Mar 21, 2024
Discretionary RAUM · $513M to $599M
Mar 27, 2023 to Mar 21, 2024
Pooled vehicle RAUM · $513M to $599M
Mar 27, 2023 to Mar 21, 2024
RAUM · $513M to $599M
Mar 27, 2023 to Mar 21, 2024
Assets in custody · $664M to $513M
Mar 21, 2022 to Mar 27, 2023
Employees · 13 to 12
Mar 21, 2022 to Mar 27, 2023
Discretionary RAUM · $664M to $513M
Mar 21, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $664M to $513M
Mar 21, 2022 to Mar 27, 2023
RAUM · $664M to $513M
Mar 21, 2022 to Mar 27, 2023
Accounts · 3 to 6
Mar 23, 2021 to Mar 21, 2022
Pooled vehicle clients · 3 to 6
Mar 23, 2021 to Mar 21, 2022
Assets in custody · $455M to $664M
Mar 23, 2021 to Mar 21, 2022
Employees · 11 to 13
Mar 23, 2021 to Mar 21, 2022
Private funds · 1 to 4
Mar 23, 2021 to Mar 21, 2022
Discretionary RAUM · $455M to $664M
Mar 23, 2021 to Mar 21, 2022
Pooled vehicle RAUM · $455M to $664M
Mar 23, 2021 to Mar 21, 2022
RAUM · $455M to $664M
Mar 23, 2021 to Mar 21, 2022
Advisory employees · 4 to 5
Jul 17, 2020 to Mar 23, 2021
Assets in custody · $261M to $455M
Jul 17, 2020 to Mar 23, 2021
Employees · 8 to 11
Jul 17, 2020 to Mar 23, 2021
Discretionary RAUM · $261M to $455M
Jul 17, 2020 to Mar 23, 2021
Pooled vehicle RAUM · $261M to $455M
Jul 17, 2020 to Mar 23, 2021
RAUM · $261M to $455M
Jul 17, 2020 to Mar 23, 2021
Accounts · 0 to 3
Mar 3, 2020 to Jul 17, 2020
Pooled vehicle clients · 0 to 3
Mar 3, 2020 to Jul 17, 2020
Assets in custody · unset to 261024000.0
Mar 3, 2020 to Jul 17, 2020
Custody of client assets · false to true
Mar 3, 2020 to Jul 17, 2020
Private funds · unset to 1
Mar 3, 2020 to Jul 17, 2020
Discretionary RAUM · $0 to $261M
Mar 3, 2020 to Jul 17, 2020
Pooled vehicle RAUM · $0 to $261M
Mar 3, 2020 to Jul 17, 2020
RAUM · $0 to $261M
Mar 3, 2020 to Jul 17, 2020
Business name · U••••••• I••••••••• to U••••••• I••••••••• L•
Feb 27, 2020 to Mar 3, 2020
Legal name · U••••••• I••••••••• to U••••••• I••••••••• L•
Feb 27, 2020 to Mar 3, 2020

Signals

8 dated events

••• Locked
Mar 18, 2026 · Control person left · inference
••• Locked
Mar 18, 2026 · ria principal change · fact
••• Locked
Mar 18, 2026 · ria principal change · derived
••• Locked
Mar 18, 2026 · Control person joined · fact
••• Locked
Mar 18, 2026 · private fund no longer reported · inference

Full timeline · 8 events

••• Locked
Mar 21, 2022 · RAUM change · derived
••• Locked
Mar 23, 2021 · RAUM change · derived
••• Locked
Feb 27, 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, Mar 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 18, 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.