DFX Intelligence
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SEC-registered adviser
H•••••••• C•••••• A••••••• L••
Latest filing Jul 20, 2026
First filing on the tape Mar 31, 2023 · 11 filings
SEC status approved since May 1, 2023
RAUM
$603M
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
25
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
28
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$603M as of Jul 20, 2026
Mar 29, 2024$415M then
HNW client RAUM$0 as of Jul 20, 2026
Mar 29, 2024$0 then
State-registered IARs (5.B.3)0 as of Jul 20, 2026
Mar 29, 20240 then
Employees (5.A)25 as of Jul 20, 2026
Mar 29, 202411 then
Private funds28 as of Jul 20, 2026
Mar 29, 202417 then
RAUM +18% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jul 20, 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
- $20.8MderivedRAUM 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
- +18%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $602M, 29 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$603M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $602M for 29 clientsreported
- Compensation
- % of AUM, performancereported
- 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
24 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••• M••••••• S••••• · Partnercontrolsince 03/2021 · owns 10% to 25%
- N•••••• C••••••••• · Founder, Managing Membercontrolsince 01/2021 · owns 25% to 50%
- W•••••••• A•••• J•••••• · Founder, Managing Membercontrolsince 01/2021 · owns 25% to 50%
- M•••••••• J•••••• M• · Chief Compliance Officer & Managing Directorsince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- A••• W•••••••pooled vehicle sponsory
- C••••••••• N•••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 29 to 28May 22, 2026 to Jul 20, 2026
- Discretionary RAUM · $602M to $603MMar 31, 2026 to Apr 20, 2026
- Pooled vehicle RAUM · $602M to $603MMar 31, 2026 to Apr 20, 2026
- RAUM · $602M to $603MMar 31, 2026 to Apr 20, 2026
- Accounts · 18 to 29May 22, 2025 to Mar 31, 2026
- Advisory employees · 6 to 4May 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · 18 to 29May 22, 2025 to Mar 31, 2026
- Assets in custody · $510M to $602MMay 22, 2025 to Mar 31, 2026
- Employees · 21 to 25May 22, 2025 to Mar 31, 2026
- Other offices · 0 to 1May 22, 2025 to Mar 31, 2026
- Private funds · 18 to 29May 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $510M to $602MMay 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $510M to $602MMay 22, 2025 to Mar 31, 2026
- RAUM · $510M to $602MMay 22, 2025 to Mar 31, 2026
- Related adviser · false to trueMay 22, 2025 to Mar 31, 2026
- Related bank · false to trueMay 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 22, 2025
- Private funds · 23 to 18Mar 28, 2025 to May 22, 2025
- Accounts · 24 to 18Jul 22, 2024 to Mar 28, 2025
- Pooled vehicle clients · 24 to 18Jul 22, 2024 to Mar 28, 2025
- Assets in custody · $415M to $510MJul 22, 2024 to Mar 28, 2025
- Employees · 11 to 21Jul 22, 2024 to Mar 28, 2025
- Private funds · 17 to 23Jul 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $415M to $510MJul 22, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $415M to $510MJul 22, 2024 to Mar 28, 2025
- RAUM · $415M to $510MJul 22, 2024 to Mar 28, 2025
- Accounts · 16 to 24Jun 22, 2023 to Mar 29, 2024
- Advisory employees · 10 to 6Jun 22, 2023 to Mar 29, 2024
- Pooled vehicle clients · 16 to 24Jun 22, 2023 to Mar 29, 2024
- Assets in custody · $181M to $415MJun 22, 2023 to Mar 29, 2024
- Employees · 10 to 11Jun 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $181M to $415MJun 22, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $181M to $415MJun 22, 2023 to Mar 29, 2024
- RAUM · $181M to $415MJun 22, 2023 to Mar 29, 2024
- Related bank · true to falseJun 22, 2023 to Mar 29, 2024
- Private funds · 34 to 17Mar 31, 2023 to May 19, 2023
Signals
4 dated events
- ••• LockedMar 29, 2024 · RAUM change · derived
- ••• LockedMar 29, 2024 · Control person left · inference
- ••• LockedMay 19, 2023 · Control person left · inference
- ••• LockedMar 31, 2023 · 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
- h•••••••••.ioreportedpublic record, Form ADV, Jul 20, 2026
- Principal office phone
- 212-702-7101reportedpublic record, Form ADV, Jul 20, 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