DFX Intelligence

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SEC-registered adviser

C••••• N••• H••••••• L•

Asset manager (funds and pooled vehicles)Richmond, VirginiaCRD 316652SEC 801-122625IAPD

Latest filing Mar 31, 2026

First filing on the tape Oct 4, 2021 · 8 filings

SEC status approved since Nov 1, 2021

RAUM

$637M

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

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$637M as of Mar 31, 2026

Mar 17, 2022$204M then

HNW client RAUM$0 as of Mar 31, 2026

Mar 17, 2022$0 then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 17, 20220 then

Employees (5.A)4 as of Mar 31, 2026

Mar 17, 20223 then

Private funds2 as of Mar 31, 2026

Mar 17, 20221 then

RAUM -22% over the last fiscal year+8.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: $159MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year: -22%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: $198M, 1 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$637M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $198M for 1 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=false 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
C••••• N••• H••••••• M••••• F••• L•	Hedge Fund	$766M	86	Feb 23, 2022

Owners and control persons

Schedule A and B, latest filing

C••••••••• J•••• A••••• · Managing Partnercontrol
since 04/2021 · owns 75% or more
W••••• M••••••• S•••• · Chief Compliance Officercontrol
since 07/2021 · owns less than 5%
C••••••••• E••••••••• H••••••• · Trustee
since 10/2021 · owns F of J••• A••••• C••••••••• 2••• I••••••••• T••••

Entity owners

C••••• N••• G• L•• · General Partner
direct · owns less than 5%
J••• A••••• C••••••••• 2••• I••••••••• T•••• · Shareholder
direct · owns 5% to 10%

Related persons

Schedule D 7.A

C••••• N••• G• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 3 to 4
Mar 28, 2025 to Mar 31, 2026
Pooled vehicle clients · 2 to 3
Mar 28, 2025 to Mar 31, 2026
Assets in custody · $237M to $198M
Mar 28, 2025 to Mar 31, 2026
Private funds · 1 to 2
Mar 28, 2025 to Mar 31, 2026
Discretionary RAUM · $819M to $637M
Mar 28, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $819M to $637M
Mar 28, 2025 to Mar 31, 2026
RAUM · $819M to $637M
Mar 28, 2025 to Mar 31, 2026
Assets in custody · $175M to $237M
Mar 26, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 26, 2024 to Mar 28, 2025
Discretionary RAUM · $766M to $819M
Mar 26, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $766M to $819M
Mar 26, 2024 to Mar 28, 2025
RAUM · $766M to $819M
Mar 26, 2024 to Mar 28, 2025
Related adviser · false to true
Mar 26, 2024 to Mar 28, 2025
Advisory employees · 4 to 3
Mar 23, 2023 to Mar 26, 2024
Assets in custody · $130M to $175M
Mar 23, 2023 to Mar 26, 2024
Discretionary RAUM · $506M to $766M
Mar 23, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $506M to $766M
Mar 23, 2023 to Mar 26, 2024
RAUM · $506M to $766M
Mar 23, 2023 to Mar 26, 2024
Advisory employees · 3 to 4
May 2, 2022 to Mar 23, 2023
Assets in custody · $61.7M to $130M
May 2, 2022 to Mar 23, 2023
Employees · 3 to 4
May 2, 2022 to Mar 23, 2023
Discretionary RAUM · $204M to $506M
May 2, 2022 to Mar 23, 2023
Pooled vehicle RAUM · $204M to $506M
May 2, 2022 to Mar 23, 2023
RAUM · $204M to $506M
May 2, 2022 to Mar 23, 2023
Accounts · 1 to 3
Oct 4, 2021 to Feb 23, 2022
Advisory employees · 2 to 3
Oct 4, 2021 to Feb 23, 2022
Pooled vehicle clients · 1 to 2
Oct 4, 2021 to Feb 23, 2022
Assets in custody · unset to 61705552.0
Oct 4, 2021 to Feb 23, 2022
Custody of client assets · false to true
Oct 4, 2021 to Feb 23, 2022
Private funds · unset to 1
Oct 4, 2021 to Feb 23, 2022
Discretionary RAUM · $2 to $204M
Oct 4, 2021 to Feb 23, 2022
Pooled vehicle RAUM · $2 to $204M
Oct 4, 2021 to Feb 23, 2022
RAUM · $2 to $204M
Oct 4, 2021 to Feb 23, 2022

Signals

3 dated events

••• Locked
Mar 26, 2024 · RAUM change · derived
••• Locked
Mar 23, 2023 · RAUM change · derived
••• Locked
Oct 4, 2021 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C••••• N••• H••••••• L• · Independent Sponsors
shared crd · capital_provider
C••••• N••• H••••••• L• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: (917) 596-6689reportedpublic record, Form ADV, Mar 31, 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