DFX Intelligence

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H••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private fundsUmbrella registration· Cranberry Township, Pennsylvaniawebsite

Former SEC-registered adviser, based in Cranberry Township, Pennsylvania, reporting $132M of regulatory assets.

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

As of 2026-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $132M
RAUM change, 1 year: +0.0%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 314650 · SEC 801-127997 · 17 filingsShow

CRD 314650SEC 801-127997First filing on the tape May 6, 2021, latest Jan 23, 2026SEC status approved since May 19, 2023IAPD

RAUM

$132M

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

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +0.0% over the last fiscal year · the tape starts May 6, 2021

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

RAUM$132M as of Jan 23, 2026

Mar 29, 2022$72.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 23, 2026

Mar 29, 20222 then

Employees (5.A)2 as of Jan 23, 2026

Mar 29, 20223 then

Private funds2 as of Jan 23, 2026

Mar 29, 20221 then

RAUM +0.0% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jan 23, 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: $44.0MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +0.0%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

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$132M100%

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: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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

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

Fund	Type	Gross assets	Owners	First reported
H••••• C•••••• P•••••••• L•	Hedge Fund	$116M	40	May 6, 2021

Owners and control persons

Schedule A and B, latest filing

W•••• K•••••• J•••• · Managing Member, Chief Investment Officer, Chief Compliance Officercontrol
since 01/2009 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Mars, PA1 employees

What changed

consecutive filings, newest first

Financial planning clients · unset to
Mar 30, 2025 to May 30, 2025
Employees · 3 to 2
Feb 20, 2024 to Mar 30, 2025
Private funds · 1 to 2
Feb 20, 2024 to Mar 30, 2025
Discretionary RAUM · $96.8M to $132M
Feb 20, 2024 to Mar 30, 2025
Pooled vehicle RAUM · $96.8M to $132M
Feb 20, 2024 to Mar 30, 2025

Full history · 36 changes

RAUM · $96.8M to $132M
Feb 20, 2024 to Mar 30, 2025
Advisory employees · 2 to 1
Oct 31, 2023 to Feb 20, 2024
Advisory activities · 2 to 1
Oct 31, 2023 to Feb 20, 2024
Pooled vehicle clients · 2 to 3
Oct 31, 2023 to Feb 20, 2024
Employees · 4 to 3
Oct 31, 2023 to Feb 20, 2024
State-registered IARs · 1 to 0
Oct 31, 2023 to Feb 20, 2024
Discretionary RAUM · $134M to $96.8M
Oct 31, 2023 to Feb 20, 2024
Pooled vehicle RAUM · $122M to $96.8M
Oct 31, 2023 to Feb 20, 2024
RAUM · $134M to $96.8M
Oct 31, 2023 to Feb 20, 2024
HQ city · MARS to CRANBERRY TOWNSHIP
Sep 7, 2023 to Oct 31, 2023
Other offices · 0 to 1
Sep 7, 2023 to Oct 31, 2023
Accounts · 2 to 3
Mar 29, 2022 to Apr 18, 2023
Pooled vehicle clients · 1 to 2
Mar 29, 2022 to Apr 18, 2023
Assets in custody · 70736906.0 to unset
Mar 29, 2022 to Apr 18, 2023
Custody of client assets · true to false
Mar 29, 2022 to Apr 18, 2023
Employees · 3 to 4
Mar 29, 2022 to Apr 18, 2023
State-registered IARs · 2 to 1
Mar 29, 2022 to Apr 18, 2023
Discretionary RAUM · $72.0M to $134M
Mar 29, 2022 to Apr 18, 2023
Pooled vehicle RAUM · $70.7M to $122M
Mar 29, 2022 to Apr 18, 2023
RAUM · $72.0M to $134M
Mar 29, 2022 to Apr 18, 2023
Advisory employees · 1 to 2
Dec 21, 2021 to Mar 29, 2022
Assets in custody · $63.8M to $70.7M
Dec 21, 2021 to Mar 29, 2022
Employees · 2 to 3
Dec 21, 2021 to Mar 29, 2022
State-registered IARs · 1 to 2
Dec 21, 2021 to Mar 29, 2022
Discretionary RAUM · $64.8M to $72.0M
Dec 21, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $63.8M to $70.7M
Dec 21, 2021 to Mar 29, 2022
RAUM · $64.8M to $72.0M
Dec 21, 2021 to Mar 29, 2022
Assets in custody · $123M to $63.8M
May 6, 2021 to Jun 16, 2021
Discretionary RAUM · $136M to $64.8M
May 6, 2021 to Jun 16, 2021
Pooled vehicle RAUM · $123M to $63.8M
May 6, 2021 to Jun 16, 2021
RAUM · $136M to $64.8M
May 6, 2021 to Jun 16, 2021

Signals

7 dated events

••• Locked
Apr 1, 2026 · Left the SEC roster · derived
••• Locked
Mar 12, 2026 · ria registration change · fact
••• Locked
Mar 12, 2026 · ria principal change · fact
••• Locked
Mar 12, 2026 · ria office closed · derived
••• Locked
Mar 12, 2026 · Control person joined · fact

Full timeline · 7 events

••• Locked
Dec 2, 2021 · Control person left · inference
••• Locked
May 6, 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 12, 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: Former SEC-registered adviserderiveda 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