DFX Intelligence

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C•••••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered5 private funds· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $612M of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $612M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +12%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

1 published business contact point is on record, each with its source.
Contact points 1

Every filed figure, and the identifiersCRD 307830 · SEC 801-118444 · 12 filingsShow

CRD 307830SEC 801-118444First filing on the tape Mar 16, 2020, latest Mar 30, 2026SEC status approved since Apr 17, 2020IAPD

RAUM

$612M

reported, Item 5.F

Discretionary

87%

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

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$612M as of Mar 30, 2026

Mar 31, 2021$178M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 31, 20210 then

Employees (5.A)8 as of Mar 30, 2026

Mar 31, 20216 then

Private funds5 as of Mar 30, 2026

Mar 31, 20213 then

RAUM +12% over the last fiscal year+23% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; 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: $26.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 87%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 offices incl. principal (1.F.5)
RAUM growth, one year: +12%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 vehicles, otherreportedItem 5.G
Custody: $318M, 6 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)
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

Pooled investment vehicles$400M65%
Corporations and businesses$212M35%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 23reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $318M for 6 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.65 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived

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

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

Fund	Type	Gross assets	Owners	First reported
C•••••• M••••• F•••• L•	Hedge Fund	$142M	63	Mar 16, 2020
R••••• F•••• L•no longer reported	Other Private Fund	$113M	12	Mar 31, 2021
R••••• F••• I•• L•	Other Private Fund	$80.2M	33	Mar 30, 2026
C•••••• S•••••• O••••••••• F••• I••• L•	Other Private Fund	$63.5M	11	Mar 18, 2024
C•••••• C•••••• S•••••••• F•••• L•	Other Private Fund	$22.5M	32	Mar 30, 2026
C•••••• S•••••• O••••••••• F••• I•• L•no longer reported	Other Private Fund	$20.1M	3	Apr 28, 2021
C•••••• S•••••• O••••••••• F•••• I• L•no longer reported	Other Private Fund	$18.8M	4	Mar 31, 2021
C•••••• S•••••••• F•••••• F••• I• L•	Other Private Fund	$9.2M	5	Mar 30, 2026

Owners and control persons

Schedule A and B, latest filing

F••••••• S•••••• B•••• · Owner/Limited Partnercontrol
since 09/2019 · owns 25% to 50%
S••••••• M••••••• A••••• · Coo/Cfo/Ccocontrol
since 03/2023 · owns less than 5%
T••••••• D••••• •••• · Cio/Limited Partnercontrol
since 09/2019 · owns 50% to 75%
F••••••• S•••••• B•••• · Owner/Managing Member
since 09/2019 · owns 25% to 50% of C•••••• C•••••• M••••••••• G• L••
T••••••• D••••• •••• · Owner/Managing Member
since 09/2019 · owns 50% to 75% of C•••••• C•••••• M••••••••• G• L••

Entity owners

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

Related persons

Schedule D 7.A

C•••••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 14 to 23
Mar 20, 2025 to Mar 30, 2026
Corporate clients · 5 to 9
Mar 20, 2025 to Mar 30, 2026
Pooled vehicle clients · 9 to 14
Mar 20, 2025 to Mar 30, 2026
Assets in custody · $418M to $318M
Mar 20, 2025 to Mar 30, 2026
Private funds · 4 to 5
Mar 20, 2025 to Mar 30, 2026
Discretionary RAUM · $547M to $533M
Mar 20, 2025 to Mar 30, 2026
Non-discretionary RAUM · $0 to $79.2M
Mar 20, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $429M to $400M
Mar 20, 2025 to Mar 30, 2026
RAUM · $547M to $612M
Mar 20, 2025 to Mar 30, 2026
Assets in custody · $339M to $418M
Mar 18, 2024 to Mar 20, 2025
Financial planning clients · unset to
Mar 18, 2024 to Mar 20, 2025
Discretionary RAUM · $455M to $547M
Mar 18, 2024 to Mar 20, 2025
Pooled vehicle RAUM · $350M to $429M
Mar 18, 2024 to Mar 20, 2025
RAUM · $455M to $547M
Mar 18, 2024 to Mar 20, 2025
Accounts · 13 to 14
Jul 24, 2023 to Mar 18, 2024
Advisory employees · 4 to 5
Jul 24, 2023 to Mar 18, 2024
Corporate clients · 3 to 5
Jul 24, 2023 to Mar 18, 2024
Pooled vehicle clients · 10 to 9
Jul 24, 2023 to Mar 18, 2024
Assets in custody · $270M to $339M
Jul 24, 2023 to Mar 18, 2024
Employees · 6 to 8
Jul 24, 2023 to Mar 18, 2024
Private funds · 3 to 4
Jul 24, 2023 to Mar 18, 2024
Discretionary RAUM · $330M to $455M
Jul 24, 2023 to Mar 18, 2024
Pooled vehicle RAUM · $316M to $350M
Jul 24, 2023 to Mar 18, 2024
RAUM · $330M to $455M
Jul 24, 2023 to Mar 18, 2024
Accounts · 12 to 13
Mar 30, 2022 to Mar 24, 2023
Pooled vehicle clients · 9 to 10
Mar 30, 2022 to Mar 24, 2023
Assets in custody · $295M to $270M
Mar 30, 2022 to Mar 24, 2023
Private funds · 4 to 3
Mar 30, 2022 to Mar 24, 2023
Discretionary RAUM · $343M to $330M
Mar 30, 2022 to Mar 24, 2023
Pooled vehicle RAUM · $323M to $316M
Mar 30, 2022 to Mar 24, 2023
RAUM · $343M to $330M
Mar 30, 2022 to Mar 24, 2023
Corporate clients · unset to 3.0
Apr 28, 2021 to Mar 30, 2022
Pooled vehicle clients · 6 to 9
Apr 28, 2021 to Mar 30, 2022
Assets in custody · $189M to $295M
Apr 28, 2021 to Mar 30, 2022
Discretionary RAUM · $228M to $343M
Apr 28, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $189M to $323M
Apr 28, 2021 to Mar 30, 2022
RAUM · $228M to $343M
Apr 28, 2021 to Mar 30, 2022
Discretionary RAUM · $178M to $228M
Mar 31, 2021 to Apr 28, 2021
Pooled vehicle RAUM · $106M to $189M
Mar 31, 2021 to Apr 28, 2021
RAUM · $178M to $228M
Mar 31, 2021 to Apr 28, 2021

Signals

12 dated events

••• Locked
Mar 30, 2026 · private fund first reported · fact
••• Locked
Mar 30, 2026 · private fund first reported · fact
••• Locked
Mar 30, 2026 · private fund first reported · fact
••• Locked
Mar 30, 2026 · private fund no longer reported · inference
••• Locked
Mar 30, 2026 · private fund no longer reported · inference
••• Locked
Mar 18, 2024 · RAUM change · derived
••• Locked
Mar 24, 2023 · Control person left · inference
••• Locked
Mar 24, 2023 · Control person joined · fact
••• Locked
Mar 30, 2022 · RAUM change · derived
••• Locked
Apr 28, 2021 · Control person joined · fact
••• Locked
Apr 28, 2021 · Control person left · inference
••• Locked
Mar 16, 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

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: Asset manager (funds and pooled vehicles)deriveda 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