DFX Intelligence
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P••• C•••••• M••••••••• I•••
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $482M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $482M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +11%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 308358 · SEC 801-118463 · 11 filingsShowHide
CRD 308358SEC 801-118463First filing on the tape Mar 18, 2020, latest Mar 2, 2026SEC status approved since Apr 17, 2020IAPD
RAUM
$482M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$482M as of Mar 2, 2026
Feb 8, 2021$132M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2026
Feb 8, 20210 then
Employees (5.A)10 as of Mar 2, 2026
Feb 8, 20219 then
Private funds2 as of Mar 2, 2026
Feb 8, 20212 then
RAUM +11% over the last fiscal year+59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 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
- $80.4MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$482M100%
- 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
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• E••••••••• V•••• M••••• F•••• L• | Hedge Fund | $373M | 12 | Mar 19, 2012 |
| P••• E••••••• M•••••• M•••• M••••• F•••• L••• | Hedge Fund | $109M | 15 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• I•••• I••• · Chief Risk Officercontrolsince 03/2015 · owns less than 5%
- J••••• P••• · Chief Executive Officer/Managing Membercontrolsince 02/2008 · owns 75% or more
- B•••••• W•••• C••••••••• · Chief Compliance Officersince 02/2018 · owns less than 5%
Related persons
Schedule D 7.A
- P••• E••••••• M•••••• M•••• F••• G•• L•••bankpooled vehicle sponsorn
- P••• E••••••••• V•••• F••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Shanghai, China3 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $433M to $482MMar 31, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $433M to $482MMar 31, 2025 to Mar 2, 2026
- RAUM · $433M to $482MMar 31, 2025 to Mar 2, 2026
- Financial planning clients · unset to Mar 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $188M to $433MMar 1, 2024 to Mar 3, 2025
- Pooled vehicle RAUM · $188M to $433MMar 1, 2024 to Mar 3, 2025
- RAUM · $188M to $433MMar 1, 2024 to Mar 3, 2025
- Advisory employees · 7 to 8Jun 6, 2023 to Mar 1, 2024
- Assets in custody · 120314399.0 to unsetJun 6, 2023 to Mar 1, 2024
- Custody of client assets · true to falseJun 6, 2023 to Mar 1, 2024
- Employees · 9 to 10Jun 6, 2023 to Mar 1, 2024
- Discretionary RAUM · $120M to $188MJun 6, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $120M to $188MJun 6, 2023 to Mar 1, 2024
- RAUM · $120M to $188MJun 6, 2023 to Mar 1, 2024
- Assets in custody · $137M to $120MFeb 24, 2022 to Mar 1, 2023
- Discretionary RAUM · $137M to $120MFeb 24, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $137M to $120MFeb 24, 2022 to Mar 1, 2023
- RAUM · $137M to $120MFeb 24, 2022 to Mar 1, 2023
- Assets in custody · $132M to $137MFeb 8, 2021 to Feb 24, 2022
- Discretionary RAUM · $132M to $137MFeb 8, 2021 to Feb 24, 2022
- Pooled vehicle RAUM · $132M to $137MFeb 8, 2021 to Feb 24, 2022
- RAUM · $132M to $137MFeb 8, 2021 to Feb 24, 2022
- Assets in custody · $182M to $132MMar 20, 2020 to Feb 8, 2021
- Employees · 10 to 9Mar 20, 2020 to Feb 8, 2021
- Discretionary RAUM · $182M to $132MMar 20, 2020 to Feb 8, 2021
- Pooled vehicle RAUM · $182M to $132MMar 20, 2020 to Feb 8, 2021
- RAUM · $182M to $132MMar 20, 2020 to Feb 8, 2021
- Succession · true to falseMar 18, 2020 to Mar 20, 2020
Signals
5 dated events
- ••• LockedMar 2, 2026 · private fund gav change · fact
- ••• LockedMar 2, 2026 · ria private fund assets change · fact
- ••• LockedMar 3, 2025 · RAUM change · derived
- ••• LockedMar 18, 2020 · Succession (Item 4) · fact
- ••• LockedMar 18, 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 2, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 2, 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
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026