DFX Intelligence

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P•••••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered7 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $83.7M of regulatory assets.

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

As of 2026-08-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $83.7M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-08-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

New owner
ownership and control
R•• C•••• H••••••• L•• appeared on Schedule A as an owner on 3 Aug 2026, with 1 other new entity owners.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →

Every filed figure, and the identifiersCRD 313241 · SEC 801-137135 · 1 filingShow

CRD 313241SEC 801-137135First filing on the tape Aug 3, 2026, latest Aug 3, 2026SEC status approved since Aug 21, 2026IAPD

RAUM

$83.7M

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

1 filing and snapshots on the tape

Filed figures over time · the tape starts Aug 3, 2026

Peer group: Asset managers, under $100M, 329 firms

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

RAUM: $83.7M

HNW client RAUM: no history

State-registered IARs (5.B.3): 0

Employees (5.A): 5

Private funds: 7

Practice profile

derived from the filing of Aug 3, 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: $7.0MderivedRAUM 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: unknownderivedbetween 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 businesses and institutions, 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)
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

100% pooled investment vehicles

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

Pooled investment vehicles$83.7M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 12reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a 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

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

Fund	Type	Gross assets	Owners	First reported
E••• A•• M••••• F••• L•••	Other Private Fund	$58.5M	3	Aug 3, 2026
P•••••••• D•••••• Y•••• M••••• F••• L•••	Hedge Fund	$47.9M	4	Aug 3, 2026
P•••••••• D•••••• Y•••• F••• L•no longer reported	Hedge Fund	$39.0M	5	Feb 25, 2022
P•••••••• A••••••• R••••• F••• L•	Hedge Fund	$13.2M	89	Apr 6, 2021
P•••••••• M••••••••• F••• L•	Hedge Fund	$5.5M	9	Aug 3, 2026

All 9 private fundslargest gross assets first

Fund	Type	Gross assets	Owners	First reported
P•••••••• S•••••• O••••••••• F••• L•••no longer reported	Hedge Fund	$5.2M	47	Apr 6, 2021
P•••••••• N••• F••• L••	Hedge Fund	$4.7M	63	Nov 13, 2019
P•••••••• S••••••••• A•••• F••• L•• • U•• S•••••	Hedge Fund	$3.1M	5	Aug 3, 2026
P•••••••• Q••••••••• F••• L•	Hedge Fund	$1.6M	10	Aug 3, 2026

Owners and control persons

Schedule A and B, latest filing

C•••••••• L•••••• C•••••••• · Coo, Head Of Investor Relationscontrol
since 07/2026 · owns less than 5%
C•••• E•••••• D•• · Managing Membercontrol
since 03/2020 · owns less than 5%
N•••••• T•••••• P••••••• · Member
since 05/2020 · owns less than 5%

Entity owners

R•• C•••• H••••••• L•• · Owner
direct · owns 50% to 75%
9•• H••••••• L•• · Owner
direct · owns 10% to 25%

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 12 fund-person rows in all

Name	Where	Funds	Filings	Named
E••••• C•••executive officerdirector	New York, NY	3	20	Nov 10, 2020 to Mar 17, 2026
P•••••••• C•••••• M••••••••• L••entityexecutive officer	Hoboken, NJ	3	18	Nov 10, 2020 to Dec 17, 2025
P•••••••• C•••••• G• L••entityexecutive officer	New York, NY	2	14	Apr 28, 2021 to Mar 17, 2026
T••••• N•••••executive officerdirector	Hoboken, NJ	2	11	Jan 8, 2021 to Dec 17, 2025
J••••• G••••executive officerdirector	Hoboken, NJ	2	6	Nov 10, 2020 to Dec 28, 2022

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (2 of 5 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

15 dated events

••• Locked
Aug 3, 2026 · private fund first reported · fact
••• Locked
Aug 3, 2026 · private fund first reported · fact
••• Locked
Aug 3, 2026 · private fund first reported · fact
••• Locked
Aug 3, 2026 · private fund first reported · fact
••• Locked
Aug 3, 2026 · private fund first reported · fact

Full timeline · 15 events

••• Locked
Aug 3, 2026 · private fund no longer reported · inference
••• Locked
Aug 3, 2026 · private fund no longer reported · inference
••• Locked
Aug 3, 2026 · ria ownership band change · fact
••• Locked
Aug 3, 2026 · ria ownership band change · fact
••• Locked
Aug 3, 2026 · ria majority owner change · fact
••• Locked
Aug 3, 2026 · ria indirect owner change · fact
••• Locked
Aug 3, 2026 · ria indirect owner change · fact
••• Locked
Aug 3, 2026 · ria indirect owner change · fact
••• Locked
Aug 3, 2026 · ria registration change · fact
••• Locked
Aug 3, 2026 · First SEC registration · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1), X (Twitter) (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Aug 3, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 3, 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, RAUM change, 1 year.