DFX Intelligence
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SEC-registered adviser
A•••••••• C•••••• M••••••••• L•
Latest filing Mar 17, 2026
First filing on the tape May 8, 2020 · 11 filings
SEC status approved since Jun 5, 2020
RAUM
$397M
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
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$397M as of Mar 17, 2026
Mar 23, 2021$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 23, 20210 then
Employees (5.A)4 as of Mar 17, 2026
Mar 23, 20214 then
Private funds2 as of Mar 17, 2026
Mar 23, 20211 then
RAUM +24% over the last fiscal year+41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $99.2MderivedRAUM 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
- +24%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $397M, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$397M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $397M for 4 clientsreported
- Compensation
- % of AUMreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• M••••• F•••• L• | Hedge Fund | $242M | 28 | Aug 19, 2020 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• A••••••••• H• · Limited Partnercontrolsince 03/2020 · owns 50% to 75%
- W•••• D•••••• J• · Limited Partnercontrolsince 03/2020 · owns 25% to 50%
- Y•••• P•••••• C••• · Chief Compliance Officer, Chief Financial Officer And Chief Operating Officercontrolsince 08/2020 · owns less than 5%
- S••••••• A••••••••• H• · Managing Membercontrolsince 03/2020 · owns 50% to 75% of A•••••••• G•• L••
- W•••• D•••••• J• · Membercontrolsince 03/2020 · owns 25% to 50% of A•••••••• G•• L••
Entity owners
- A•••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A•••••••• C•••••• P•••••••• 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 · $319M to $397MMar 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $319M to $397MMar 18, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $319M to $397MMar 18, 2025 to Mar 17, 2026
- RAUM · $319M to $397MMar 18, 2025 to Mar 17, 2026
- Accounts · 3 to 4Mar 25, 2024 to Mar 18, 2025
- Pooled vehicle clients · 3 to 4Mar 25, 2024 to Mar 18, 2025
- Assets in custody · $242M to $319MMar 25, 2024 to Mar 18, 2025
- Employees · 3 to 4Mar 25, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 18, 2025
- Private funds · 1 to 2Mar 25, 2024 to Mar 18, 2025
- Discretionary RAUM · $242M to $319MMar 25, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $242M to $319MMar 25, 2024 to Mar 18, 2025
- RAUM · $242M to $319MMar 25, 2024 to Mar 18, 2025
- Assets in custody · $143M to $242MOct 3, 2023 to Mar 25, 2024
- Discretionary RAUM · $143M to $242MOct 3, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $143M to $242MOct 3, 2023 to Mar 25, 2024
- RAUM · $143M to $242MOct 3, 2023 to Mar 25, 2024
- HQ city · NEW YORK to STAMFORDMar 24, 2023 to Oct 3, 2023
- HQ state · NY to CTMar 24, 2023 to Oct 3, 2023
- Advisory employees · 3 to 2Sep 7, 2022 to Mar 24, 2023
- Assets in custody · $212M to $143MSep 7, 2022 to Mar 24, 2023
- Employees · 4 to 3Sep 7, 2022 to Mar 24, 2023
- Discretionary RAUM · $212M to $143MSep 7, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $212M to $143MSep 7, 2022 to Mar 24, 2023
- RAUM · $212M to $143MSep 7, 2022 to Mar 24, 2023
- Assets in custody · $173M to $212MMar 23, 2021 to Mar 18, 2022
- Discretionary RAUM · $173M to $212MMar 23, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $173M to $212MMar 23, 2021 to Mar 18, 2022
- RAUM · $173M to $212MMar 23, 2021 to Mar 18, 2022
- Accounts · 2 to 3Jan 25, 2021 to Mar 23, 2021
- Advisory employees · 2 to 3Jan 25, 2021 to Mar 23, 2021
- Pooled vehicle clients · 2 to 3Jan 25, 2021 to Mar 23, 2021
- Assets in custody · $138M to $173MJan 25, 2021 to Mar 23, 2021
- Employees · 3 to 4Jan 25, 2021 to Mar 23, 2021
- Discretionary RAUM · $138M to $173MJan 25, 2021 to Mar 23, 2021
- Pooled vehicle RAUM · $138M to $173MJan 25, 2021 to Mar 23, 2021
- RAUM · $138M to $173MJan 25, 2021 to Mar 23, 2021
- Accounts · unset to 2.0May 8, 2020 to Aug 19, 2020
- Pooled vehicle clients · unset to 2.0May 8, 2020 to Aug 19, 2020
- Assets in custody · $0 to $138MMay 8, 2020 to Aug 19, 2020
Signals
2 dated events
- Chin Philip Yang (Chief Compliance Officer, Chief Financial Officer And Chief Operating Officer) appeared on Schedule A of A•••••••• C•••••• M••••••••• L•Aug 19, 2020 · Control person joined · fact
- A•••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)May 8, 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
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646-568-4770reportedpublic record, Form ADV, Mar 17, 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