DFX Intelligence

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SEC-registered adviser

D• A••••••• A••••••• L•••••••••

Institutional managerNew York, New YorkCRD 313938SEC 801-121559IAPD

Latest filing Jan 29, 2026

First filing on the tape May 20, 2021 · 9 filings

SEC status approved since Jun 21, 2021

RAUM

$1.3B

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$650M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$1.3B as of Jan 29, 2026

Mar 1, 2022$641M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Jan 29, 2026

Mar 1, 20220 then

Employees (5.A)2 as of Jan 29, 2026

Mar 1, 20221 then

Private funds: no history

RAUM +19% over the last fiscal year+14% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jan 29, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

RAUM per advisor: $650MderivedRAUM 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: $433MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed feesreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 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

receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Insurance companies$1.3B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
K•••••••• J•••	New York, Ny	Nov 30, 2023	17 y	0
Y••• O•• P•••	New York, Ny	Oct 10, 2025	22 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••• Y••• O•• · President And Chief Compliance Officercontrol
since 07/2020 · owns less than 5%

Entity owners

D• I•••••••• C••• L••• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

D• I•••••••• C••• L•••
real estatey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	2	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Jan 29, 2026
discretionary share of RAUM of 0% against a peer median of 99% (121 comparable advisers, 0.0th percentile, 33.5 robust deviations)
peers: institutional managers, $1B to $5B (121) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Advisory employees · 3 to 2
Mar 26, 2025 to Jan 29, 2026
Employees · 3 to 2
Mar 26, 2025 to Jan 29, 2026
Insurance-licensed employees · 0 to 1
Mar 26, 2025 to Jan 29, 2026
Non-discretionary RAUM · $1.1B to $1.3B
Mar 26, 2025 to Jan 29, 2026
RAUM · $1.1B to $1.3B
Mar 26, 2025 to Jan 29, 2026
Accounts · 2 to 3
Feb 15, 2024 to Mar 26, 2025
Advisory employees · 2 to 3
Feb 15, 2024 to Mar 26, 2025
Financial planning clients · unset to
Feb 15, 2024 to Mar 26, 2025
State-registered IARs · 0 to 2
Feb 15, 2024 to Mar 26, 2025
Non-discretionary RAUM · $1.2B to $1.1B
Feb 15, 2024 to Mar 26, 2025
RAUM · $1.2B to $1.1B
Feb 15, 2024 to Mar 26, 2025
Advisory employees · 1 to 2
Feb 10, 2023 to Feb 15, 2024
Employees · 1 to 3
Feb 10, 2023 to Feb 15, 2024
Non-discretionary RAUM · $882M to $1.2B
Feb 10, 2023 to Feb 15, 2024
RAUM · $882M to $1.2B
Feb 10, 2023 to Feb 15, 2024
Non-discretionary RAUM · $641M to $882M
Mar 8, 2022 to Feb 10, 2023
RAUM · $641M to $882M
Mar 8, 2022 to Feb 10, 2023
Accounts · 1 to 2
Mar 1, 2022 to Mar 8, 2022
Non-discretionary RAUM · $401M to $641M
Oct 20, 2021 to Mar 1, 2022
RAUM · $401M to $641M
Oct 20, 2021 to Mar 1, 2022
Accounts · 0 to 1
May 28, 2021 to Oct 20, 2021
Non-discretionary RAUM · $0 to $401M
May 28, 2021 to Oct 20, 2021
RAUM · $0 to $401M
May 28, 2021 to Oct 20, 2021

Signals

4 dated events

D• A••••••• A••••••• L••••••••• reported RAUM $1.2B, up 35% from $882.0M (2023-02-10 to 2024-02-15)
Feb 15, 2024 · RAUM change · derived
D• A••••••• A••••••• L••••••••• reported RAUM $882.0M, up 38% from $641.0M (2022-03-08 to 2023-02-10)
Feb 10, 2023 · RAUM change · derived
D• A••••••• A••••••• L••••••••• reported RAUM $641.0M, up 60% from $401.4M (2021-10-20 to 2022-03-01)
Mar 1, 2022 · RAUM change · derived
D• A••••••• A••••••• L••••••••• filed its initial SEC registration (Form ADV)
May 20, 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.

How to reach

public business contact points only, each with its source

Principal office phone: 917-261-4798reportedpublic record, Form ADV, Jan 29, 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: Institutional managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $650Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026