DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

C••••••••• H••••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 308943SEC 801-121007IAPD

Latest filing Mar 27, 2023

First filing on the tape Mar 30, 2021 · 6 filings

RAUM

$166M

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$166M gross assets

History

6 filings and snapshots on the tape

RAUM$166M as of Mar 27, 2023

Mar 21, 2022$281M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2023

Mar 21, 20220 then

Employees (5.A)5 as of Mar 27, 2023

Mar 21, 20225 then

Private funds1 as of Mar 27, 2023

Mar 21, 20221 then

RAUM -41% over the last fiscal yearIARs 0 to 0offices 1 to 0

Practice profile

derived from the filing of Mar 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: $55.4MderivedRAUM 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: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -41%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: $166M, 3 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

Pooled investment vehicles$166M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $166M for 3 clientsreported
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

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

Fund	Type	Gross assets	Owners	First reported
C••••••••• H••••••• M••••• F••• L•	Hedge Fund	$74.5M	31	May 6, 2020

Owners and control persons

Schedule A and B, latest filing

S•••••• S••••••• N•• · Principal, Chief Investment Officer, Limited Partnercontrol
since 06/2019 · owns 50% to 75%
Y•••• J••••• H•••••• · Chief Financial Officer And Chief Compliance Officercontrol
since 11/2020 · owns less than 5%
S••••••• C••••• J••••• · Sole Membercontrol
since 12/2020 · owns 75% or more of I••• G•• L••
S••••••• C••••• J••••• · Limited Partnercontrol
since 12/2020 · owns 75% or more of I•••• L•
S•••••• S••••••• N•• · Managing Membercontrol
since 05/2019 · owns 75% or more of C••••••••• H••••••• G• L••

Entity owners

C••••••••• H••••••• G• L•• · General Partner
direct · owns less than 5%
I••• G•• L•• · General Partner
indirect · owns F of I•••• L•
I•••• L• · Limited Partner
direct · owns 25% to 50%

Related persons

Schedule D 7.A

C••••••••• H••••••• F••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $281M to $166M
Oct 31, 2022 to Mar 27, 2023
Other offices · 1 to 0
Oct 31, 2022 to Mar 27, 2023
Discretionary RAUM · $281M to $166M
Oct 31, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $281M to $166M
Oct 31, 2022 to Mar 27, 2023
RAUM · $281M to $166M
Oct 31, 2022 to Mar 27, 2023
Assets in custody · $208M to $281M
Jul 6, 2021 to Mar 21, 2022
Employees · 4 to 5
Jul 6, 2021 to Mar 21, 2022
Other offices · 0 to 1
Jul 6, 2021 to Mar 21, 2022
Discretionary RAUM · $208M to $281M
Jul 6, 2021 to Mar 21, 2022
Pooled vehicle RAUM · $208M to $281M
Jul 6, 2021 to Mar 21, 2022
RAUM · $208M to $281M
Jul 6, 2021 to Mar 21, 2022
Private funds · 2 to 1
Mar 30, 2021 to Mar 31, 2021

Signals

2 dated events

C••••••••• H••••••• M••••••••• L• reported RAUM $166.2M, down 41% from $280.5M (2022-10-31 to 2023-03-27)
Mar 27, 2023 · RAUM change · derived
C••••••••• H••••••• M••••••••• L• filed its initial SEC registration (Form ADV)
Mar 30, 2021 · 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