DFX Intelligence

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S••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $366M of regulatory assets.

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

As of 2026-09-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $366M
Advisors: 0
RAUM change, 1 year: -33%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-33.1%
RAUM, one year
RAUM $547M to $366M (-33.1%) on the Form ADV filed 1 Sep 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 317572 · SEC 801-123373 · 10 filingsShow

CRD 317572SEC 801-123373First filing on the tape Feb 2, 2022, latest Sep 1, 2026SEC status approved since Jun 17, 2022IAPD

RAUM

$366M

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

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM -35% a year over three years · the tape starts Feb 2, 2022

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

RAUM$366M as of Mar 27, 2026

Mar 13, 2023$1.3B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 13, 20230 then

Employees (5.A)8 as of Mar 27, 2026

Mar 13, 20236 then

Private funds1 as of Mar 27, 2026

Mar 13, 20232 then

RAUM -33% over the last fiscal year-35% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Sep 1, 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: $91.6MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: -33%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: $340M, 3 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)
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)

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$366M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $340M for 3 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

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

Fund	Type	Gross assets	Owners	First reported
S••••• M••••• F••• L•	Hedge Fund	$340M	10	Sep 7, 2022
L•• O•• F••• L•no longer reported	Hedge Fund	$218M	11	Feb 2, 2022

Owners and control persons

Schedule A and B, latest filing

G••••••••• J••••• P•••• · Coo/Ccocontrol
since 10/2021 · owns less than 5%
I••••• M••••• Z•••• · Managing Partnercontrol
since 01/2021 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Mar 27, 2026
RAUM (Item 5.F) moved from $547,438,291 to $366,497,757 (-33.0%) between the annual amendments of 2025-03-13 and 2026-03-27; the peer median change was +4.0% (1140 comparable advisers, 7.0th percentile of changes)
peers: asset managers, $100M to $500M (1,140) · 7.5% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · to unset
Mar 27, 2026 to Sep 1, 2026
Private funds · 1 to unset
Mar 27, 2026 to Sep 1, 2026
Succession · false to unset
Mar 27, 2026 to Sep 1, 2026
Advisory employees · 5 to 4
Jun 30, 2025 to Mar 27, 2026
Assets in custody · $547M to $340M
Jun 30, 2025 to Mar 27, 2026

Full history · 42 changes

Private funds · 2 to 1
Jun 30, 2025 to Mar 27, 2026
Discretionary RAUM · $547M to $366M
Jun 30, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $547M to $366M
Jun 30, 2025 to Mar 27, 2026
RAUM · $547M to $366M
Jun 30, 2025 to Mar 27, 2026
Business name · L•• O•• M••••••••• L• to S••••• M••••••••• L•
Mar 13, 2025 to Jun 30, 2025
Financial planning clients · unset to
Mar 13, 2025 to Jun 30, 2025
Legal name · L•• O•• M••••••••• L• to S••••• M••••••••• L•
Mar 13, 2025 to Jun 30, 2025
Advisory employees · 4 to 5
Mar 5, 2024 to Mar 13, 2025
Assets in custody · $693M to $547M
Mar 5, 2024 to Mar 13, 2025
Employees · 7 to 8
Mar 5, 2024 to Mar 13, 2025
Discretionary RAUM · $693M to $547M
Mar 5, 2024 to Mar 13, 2025
Pooled vehicle RAUM · $693M to $547M
Mar 5, 2024 to Mar 13, 2025
RAUM · $693M to $547M
Mar 5, 2024 to Mar 13, 2025
Advisory employees · 3 to 4
Apr 14, 2023 to Mar 5, 2024
Assets in custody · $1.3B to $693M
Apr 14, 2023 to Mar 5, 2024
Employees · 6 to 7
Apr 14, 2023 to Mar 5, 2024
Discretionary RAUM · $1.3B to $693M
Apr 14, 2023 to Mar 5, 2024
Pooled vehicle RAUM · $1.3B to $693M
Apr 14, 2023 to Mar 5, 2024
RAUM · $1.3B to $693M
Apr 14, 2023 to Mar 5, 2024
Accounts · 31 to 4
Sep 7, 2022 to Mar 13, 2023
Assets in custody · $1.2B to $1.3B
Sep 7, 2022 to Mar 13, 2023
Discretionary RAUM · $1.2B to $1.3B
Sep 7, 2022 to Mar 13, 2023
Pooled vehicle RAUM · $1.2B to $1.3B
Sep 7, 2022 to Mar 13, 2023
RAUM · $1.2B to $1.3B
Sep 7, 2022 to Mar 13, 2023
Pooled vehicle clients · 31 to 4
Jun 16, 2022 to Sep 7, 2022
Assets in custody · $999M to $1.2B
Jun 16, 2022 to Sep 7, 2022
Employees · 5 to 6
Jun 16, 2022 to Sep 7, 2022
Private funds · 1 to 2
Jun 16, 2022 to Sep 7, 2022
Discretionary RAUM · $999M to $1.2B
Jun 16, 2022 to Sep 7, 2022
Pooled vehicle RAUM · $999M to $1.2B
Jun 16, 2022 to Sep 7, 2022
RAUM · $999M to $1.2B
Jun 16, 2022 to Sep 7, 2022
Advisory employees · 2 to 3
Feb 2, 2022 to Jun 16, 2022
Assets in custody · $1.3B to $999M
Feb 2, 2022 to Jun 16, 2022
Employees · 4 to 5
Feb 2, 2022 to Jun 16, 2022
Discretionary RAUM · $1.3B to $999M
Feb 2, 2022 to Jun 16, 2022
Pooled vehicle RAUM · $1.3B to $999M
Feb 2, 2022 to Jun 16, 2022
RAUM · $1.3B to $999M
Feb 2, 2022 to Jun 16, 2022

Signals

4 dated events

••• Locked
Sep 1, 2026 · private fund no longer reported · inference
••• Locked
Mar 27, 2026 · RAUM change · derived
••• Locked
Mar 5, 2024 · RAUM change · derived
••• Locked
Feb 2, 2022 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

L•• O•• M••••••••• L• · Family Offices
same CRD · office

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Sep 1, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 1, 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

Across the graphs

S••••• M••••••••• L• is the same institution as 1 record in Family Offices.

Family Offices1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.