DFX Intelligence

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S••••••• I••••••••• U• 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 $17B of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $17B
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +57%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +57% over the last fiscal year, to $17B.
2026-03-31
RAUM a year earlier $11BRAUM now $17B
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 317755 · SEC 801-128668 · 8 filingsShow

CRD 317755SEC 801-128668First filing on the tape Aug 1, 2023, latest Mar 31, 2026SEC status approved since Sep 1, 2023IAPD

RAUM

$17B

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

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$17B as of Mar 31, 2026

Mar 27, 2024$13B then

HNW client RAUM: no history

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

Mar 27, 20240 then

Employees (5.A)10 as of Mar 31, 2026

Mar 27, 20245 then

Private funds: no history

RAUM +57% over the last fiscal yearIARs 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: $5.6BderivedRAUM 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: +57%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 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

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)
receives research or other products from a broker-dealer, soft dollars (8.E)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$17B100%

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: n/areported
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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••• T•••• A•••• · Managercontrol
since 08/2023 · owns less than 5%
K••• A•• · Chief Compliance Officercontrol
since 08/2023 · owns less than 5%
G••• F••• · Shareholdercontrol
since 10/2021 · owns 75% or more of S••••••• H••••••• G• L••••••
G••• F••• · L•••••• Partnercontrol
since 10/2021 · owns 75% or more of S••••••• H••••••• L•

Entity owners

S••••••• R••••••• S••••••• L•• · Member
direct · owns 75% or more
S••••••• H••••••• G• L•••••• · General Partner
indirect · owns F of S••••••• H••••••• L•
S••••••• H••••••• L• · Shareholder
indirect · owns 75% or more of S••••••• U• H••••••• L••
S••••••• U• H••••••• L•• · Shareholder
indirect · owns 75% or more of S••••••• R••••••• S••••••• L••

Related persons

Schedule D 7.A

S••••••• I••••••••• •••• K•••• L••••••
investment adviserbankn
S••••••• I••••••••• C••••• L••••••
investment adviserbankn
S••••••• I••••••••• J••••• L••••••
investment adviserbankn
S••••••• I••••••••• L•
investment adviserbankn
S••••••• I••••••••• S•••••••• P•••••• L••••••
investment adviserbankn
S••••••• I••••••••• U• L••
investment adviserbankn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 4 to 9
Oct 29, 2025 to Mar 31, 2026
Employees · 5 to 10
Oct 29, 2025 to Mar 31, 2026
Discretionary RAUM · $11B to $17B
Oct 29, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $11B to $17B
Oct 29, 2025 to Mar 31, 2026
RAUM · $11B to $17B
Oct 29, 2025 to Mar 31, 2026
Financial planning clients · unset to
Jul 16, 2024 to Apr 18, 2025
Discretionary RAUM · $11B to $11B
Jul 16, 2024 to Apr 18, 2025
Pooled vehicle RAUM · $11B to $11B
Jul 16, 2024 to Apr 18, 2025
RAUM · $11B to $11B
Jul 16, 2024 to Apr 18, 2025
Discretionary RAUM · $13B to $11B
Mar 27, 2024 to Jul 16, 2024
Pooled vehicle RAUM · $13B to $11B
Mar 27, 2024 to Jul 16, 2024
RAUM · $13B to $11B
Mar 27, 2024 to Jul 16, 2024
Advisory employees · 2 to 4
Dec 11, 2023 to Mar 27, 2024
Employees · 4 to 5
Dec 11, 2023 to Mar 27, 2024
Discretionary RAUM · $11B to $13B
Dec 11, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $11B to $13B
Dec 11, 2023 to Mar 27, 2024
RAUM · $11B to $13B
Dec 11, 2023 to Mar 27, 2024
Accounts · unset to 3.0
Sep 18, 2023 to Dec 11, 2023
Advisory employees · 0 to 2
Sep 18, 2023 to Dec 11, 2023
Pooled vehicle clients · unset to 3.0
Sep 18, 2023 to Dec 11, 2023
Employees · 2 to 4
Sep 18, 2023 to Dec 11, 2023
Discretionary RAUM · unset to 10736263138.0
Sep 18, 2023 to Dec 11, 2023
Non-discretionary RAUM · unset to 0.0
Sep 18, 2023 to Dec 11, 2023
Pooled vehicle RAUM · unset to 10736263138.0
Sep 18, 2023 to Dec 11, 2023
RAUM · unset to 10736263138.0
Sep 18, 2023 to Dec 11, 2023

Signals

2 dated events

••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Aug 1, 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: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic 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