DFX Intelligence

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T••••••• C•••••• I••••••••• A••••••• L•••

Asset manager (funds and pooled vehicles)SEC-registered4 private funds· Hamilton

Asset manager (funds and pooled vehicles), based in Hamilton, reporting $3.5B of regulatory assets.

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

As of 2026-03-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $3.5B
Advisors: 0
RAUM change, 1 year: +68%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 20 Mar 2026, 2 control persons joined and 0 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 316597 · SEC 801-122403 · 12 filingsShow

CRD 316597SEC 801-122403First filing on the tape Aug 27, 2021, latest Mar 20, 2026SEC status approved since Sep 28, 2021IAPD

RAUM

$3.5B

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

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM +345% a year over three years · the tape starts Aug 27, 2021

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

RAUM$3.5B as of Mar 20, 2026

Mar 24, 2022$27.8M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 20, 2026

Mar 24, 20220 then

Employees (5.A)13 as of Mar 20, 2026

Mar 24, 20223 then

Private funds4 as of Mar 20, 2026

Mar 28, 20243 then

RAUM +68% over the last fiscal year+345% a year over threeIARs 0 to 0offices 0 to 1

Practice profile

derived from the filing of Mar 20, 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: $575MderivedRAUM 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: +68%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
Custody: $3.5B, 6 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

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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

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$3.5B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $3.5B for 6 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no 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

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

Fund	Type	Gross assets	Owners	First reported
S••••• M••••• A••••• F••• L••	Other Private Fund	$1.8B	31	May 4, 2023
S••••• T•• L•••• F••• L•••	Other Private Fund	$500M	13	May 4, 2023
B••• I••••• Q• F••• L••	Other Private Fund	$370M	2	Mar 20, 2026
S••••• M••••• O••••••••• F••• L••	Other Private Fund	$114M	20	May 4, 2023

Owners and control persons

Schedule A and B, latest filing

D•••••• E•••••••• · Directorcontrol
since 11/2017 · owns less than 5%
D••••••• B•••• · Directorcontrol
since 11/2017 · owns less than 5%
H•••••••• D•••••• · Chief Operating Officercontrol
since 11/2017 · owns less than 5%
J••••••••• M••••• · Directorcontrol
since 11/2017 · owns less than 5%
S••••• M••••••• H•••• · Chief Compliance Officercontrol
since 11/2024 · owns less than 5%

All 8 control persons

H•••••••• D•••••• · Chief Operating Officercontrol
since 11/2017 · owns 25% to 50% of T••••••• C•••••• L••
J••••••••• M••••• · Director And Chief Investment Officercontrol
since 11/2017 · owns 25% to 50% of T••••••• C•••••• L••
M••••••••• K••• H•••••• · Chief Risk Officercontrol
since 11/2017 · owns 25% to 50% of T••••••• C•••••• L••

Entity owners

T••••••• C•••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

B•••• D••••••
pooled vehicle sponsorn
E•••••••• D•••••
pooled vehicle sponsorn
M••••• J••••••••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 5 to 6
Apr 9, 2025 to Mar 20, 2026
Pooled vehicle clients · 5 to 6
Apr 9, 2025 to Mar 20, 2026
Assets in custody · $2.1B to $3.5B
Apr 9, 2025 to Mar 20, 2026
Employees · 11 to 13
Apr 9, 2025 to Mar 20, 2026
Other offices · 0 to 1
Apr 9, 2025 to Mar 20, 2026

Full history · 54 changes

Private funds · 3 to 4
Apr 9, 2025 to Mar 20, 2026
Discretionary RAUM · $2.1B to $3.5B
Apr 9, 2025 to Mar 20, 2026
Pooled vehicle RAUM · $2.1B to $3.5B
Apr 9, 2025 to Mar 20, 2026
RAUM · $2.1B to $3.5B
Apr 9, 2025 to Mar 20, 2026
Accounts · 3 to 5
Nov 27, 2024 to Apr 9, 2025
Pooled vehicle clients · 3 to 5
Nov 27, 2024 to Apr 9, 2025
Assets in custody · $860M to $2.1B
Nov 27, 2024 to Apr 9, 2025
Employees · 9 to 11
Nov 27, 2024 to Apr 9, 2025
Financial planning clients · unset to
Nov 27, 2024 to Apr 9, 2025
HQ state · unset to
Nov 27, 2024 to Apr 9, 2025
Discretionary RAUM · $860M to $2.1B
Nov 27, 2024 to Apr 9, 2025
Pooled vehicle RAUM · $860M to $2.1B
Nov 27, 2024 to Apr 9, 2025
RAUM · $860M to $2.1B
Nov 27, 2024 to Apr 9, 2025
Assets in custody · $828M to $860M
Mar 28, 2024 to May 21, 2024
Discretionary RAUM · $828M to $860M
Mar 28, 2024 to May 21, 2024
Pooled vehicle RAUM · $828M to $860M
Mar 28, 2024 to May 21, 2024
RAUM · $828M to $860M
Mar 28, 2024 to May 21, 2024
Assets in custody · $810M to $828M
Dec 5, 2023 to Mar 28, 2024
Discretionary RAUM · $817M to $828M
Dec 5, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $817M to $828M
Dec 5, 2023 to Mar 28, 2024
RAUM · $817M to $828M
Dec 5, 2023 to Mar 28, 2024
Accounts · 4 to 3
May 4, 2023 to Dec 5, 2023
Advisory employees · 4 to 2
May 4, 2023 to Dec 5, 2023
Advisory activities · 2 to 1
May 4, 2023 to Dec 5, 2023
Assets in custody · $612M to $810M
May 4, 2023 to Dec 5, 2023
Other offices · 1 to 0
May 4, 2023 to Dec 5, 2023
Discretionary RAUM · $711M to $817M
May 4, 2023 to Dec 5, 2023
Pooled vehicle RAUM · $612M to $817M
May 4, 2023 to Dec 5, 2023
RAUM · $711M to $817M
May 4, 2023 to Dec 5, 2023
Accounts · 1 to 4
Feb 27, 2023 to May 4, 2023
Advisory employees · 2 to 4
Feb 27, 2023 to May 4, 2023
Advisory activities · 1 to 2
Feb 27, 2023 to May 4, 2023
Pooled vehicle clients · unset to 3.0
Feb 27, 2023 to May 4, 2023
Assets in custody · unset to 612200000.0
Feb 27, 2023 to May 4, 2023
Custody of client assets · false to true
Feb 27, 2023 to May 4, 2023
Employees · 4 to 9
Feb 27, 2023 to May 4, 2023
Private funds · unset to 3
Feb 27, 2023 to May 4, 2023
Discretionary RAUM · $39.2M to $711M
Feb 27, 2023 to May 4, 2023
Pooled vehicle RAUM · unset to 612200000.0
Feb 27, 2023 to May 4, 2023
RAUM · $39.2M to $711M
Feb 27, 2023 to May 4, 2023
Advisory employees · 1 to 2
Nov 11, 2022 to Feb 27, 2023
Employees · 3 to 4
Nov 11, 2022 to Feb 27, 2023
Discretionary RAUM · $27.8M to $39.2M
Nov 11, 2022 to Feb 27, 2023
RAUM · $27.8M to $39.2M
Nov 11, 2022 to Feb 27, 2023
Related adviser · true to false
Nov 11, 2022 to Feb 27, 2023
Accounts · 0 to 1
Aug 27, 2021 to Mar 24, 2022
Other offices · 0 to 1
Aug 27, 2021 to Mar 24, 2022
Discretionary RAUM · $0 to $27.8M
Aug 27, 2021 to Mar 24, 2022
RAUM · $0 to $27.8M
Aug 27, 2021 to Mar 24, 2022

Signals

17 dated events

••• Locked
Mar 20, 2026 · Control person joined · fact
••• Locked
Mar 20, 2026 · private fund gav change · fact
••• Locked
Mar 20, 2026 · private fund gav change · fact
••• Locked
Mar 20, 2026 · ria private fund assets change · fact
••• Locked
Mar 20, 2026 · ria principal change · fact

Full timeline · 17 events

••• Locked
Mar 20, 2026 · ria principal change · fact
••• Locked
Mar 20, 2026 · ria office opened · fact
••• Locked
Mar 20, 2026 · Control person joined · fact
••• Locked
Mar 20, 2026 · RAUM change · derived
••• Locked
Mar 20, 2026 · private fund first reported · fact
••• Locked
Apr 9, 2025 · RAUM change · derived
••• Locked
Nov 27, 2024 · Control person joined · fact
••• Locked
Nov 27, 2024 · Control person left · inference
••• Locked
May 21, 2024 · Control person left · inference
••• Locked
May 21, 2024 · Control person joined · fact
••• Locked
May 4, 2023 · Control person joined · fact
••• Locked
Aug 27, 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: ••• Lockedreportedpublic record, Form ADV, Mar 20, 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.