DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
H•••••••• A••••••• L•••
Latest filing Mar 12, 2026
First filing on the tape Aug 29, 2024 · 7 filings
SEC status approved since Dec 11, 2024
RAUM
$215M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$215M as of Mar 12, 2026
Mar 25, 2025$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 25, 20250 then
Employees (5.A)2 as of Mar 12, 2026
Mar 25, 20252 then
Private funds1 as of Mar 12, 2026
Mar 25, 20251 then
RAUM +38% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $53.7MderivedRAUM 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
- +38%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $83.3M, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$215M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $83.3M for 3 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• M••••• F••• L• | Hedge Fund | $63.1M | 7 | Jun 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• J•••••••• I•• · General Partner And Chief Compliance Officercontrolsince 02/2021 · owns 75% or more
- K•••••••• L••••• A••• · Limited Partnersince 02/2021 · owns less than 5%
Related persons
Schedule D 7.A
- H•••••••• C•••••• 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 4Aug 28, 2025 to Mar 12, 2026
- Assets in custody · $76.0M to $83.3MAug 28, 2025 to Mar 12, 2026
- Discretionary RAUM · $156M to $215MAug 28, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $156M to $215MAug 28, 2025 to Mar 12, 2026
- RAUM · $156M to $215MAug 28, 2025 to Mar 12, 2026
- Accounts · 2 to 3Dec 10, 2024 to Mar 25, 2025
- Advisory employees · 1 to 2Dec 10, 2024 to Mar 25, 2025
- Pooled vehicle clients · 2 to 4Dec 10, 2024 to Mar 25, 2025
- Assets in custody · $67.3M to $76.0MDec 10, 2024 to Mar 25, 2025
- Employees · 1 to 2Dec 10, 2024 to Mar 25, 2025
- Financial planning clients · unset to Dec 10, 2024 to Mar 25, 2025
- HQ city · NEW YORK to Dec 10, 2024 to Mar 25, 2025
- HQ state · NY to Dec 10, 2024 to Mar 25, 2025
- Other offices · 0 to 1Dec 10, 2024 to Mar 25, 2025
- Discretionary RAUM · $67.3M to $156MDec 10, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $67.3M to $156MDec 10, 2024 to Mar 25, 2025
- RAUM · $67.3M to $156MDec 10, 2024 to Mar 25, 2025
- Related bank · false to trueDec 10, 2024 to Mar 25, 2025
- Private funds · 2 to 1Aug 29, 2024 to Dec 4, 2024
Signals
1 dated events
- ••• LockedAug 29, 2024 · 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
- 212-804-9085reportedpublic record, Form ADV, Mar 12, 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