DFX Intelligence

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A•••••• A•••• M•••••••••

Other adviserSEC-registered· New York, New Yorkwebsite

Other adviser, based in New York, New York, reporting $1.3B of regulatory assets.

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

As of 2026-02-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.3B
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +115%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-02-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +115% over the last fiscal year, to $1.3B.
2026-02-10
RAUM a year earlier $598MRAUM now $1.3B
RAUM (Item 5.F) moved from $598,358,673 to $1,287,479,045 (+115.0%) between the annual amendments of 2025-03-19 and 2026-02-10; the peer median change was +11.0% (231 comparable advisers, 91.0th percentile of changes)
2026-02-10
RAUM (Item 5.F) 1287479045Peer median 0.10689571399263
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 319774 · SEC 801-125719 · 13 filingsShow

CRD 319774SEC 801-125719Legal name A•••••• A•••• M••••••••• L••First filing on the tape Apr 21, 2022, latest Feb 10, 2026SEC status approved since May 20, 2022IAPD

RAUM

$1.3B

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

13 filings and snapshots on the tape

RAUM$1.3B as of Feb 10, 2026

Feb 16, 2023$40.1M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Feb 10, 2026

Feb 16, 20233 then

Employees (5.A)13 as of Feb 10, 2026

Feb 16, 20236 then

Private funds: no history

RAUM +115% over the last fiscal year+218% a year over threeIARs 3 to 2offices 1 to 2

Practice profile

derived from the filing of Feb 10, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

RAUM per advisor: $644MderivedRAUM 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: $92.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 61%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 6.5derivedItem 5.A over advisors
Advisors per office: 0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +115%derivedbetween the last two annual amendments
Advisor growth, one year: -33%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$787M61%
Corporations and businesses$409M32%
Investment companies$87.9M6.8%
Charitable organizations$4.2M0.3%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 14reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=0.07 institutional_share=0.61 related_bd=true related_bank=false bd_reps=2.0derived

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

B•••• M••••••• B••••• · Chief Compliance Officercontrol
since 12/2021 · owns less than 5%
G•••••• A••••••• R• · President, Chief Financial Officer; Direct Ownercontrol
since 12/2021 · owns 10% to 25%
M•••••••• P•••• J••••• · Direct Ownercontrol
since 05/2023 · owns 10% to 25%
M•••• R•••••• C••••• · Chief Executive Officer; Direct Ownercontrol
since 12/2021 · owns 50% to 75%
W•••••• S••••••• H••••••• · Direct Ownercontrol
since 05/2023 · owns 10% to 25%

Related persons

Schedule D 7.A

A•••••• S••••••••• I•••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

Chicago, IL2 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Feb 10, 2026
RAUM (Item 5.F) moved from $598,358,673 to $1,287,479,045 (+115.0%) between the annual amendments of 2025-03-19 and 2026-02-10; the peer median change was +11.0% (231 comparable advisers, 91.0th percentile of changes)
peers: other advisers, $1B to $5B (231) · 91% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 11 to 14
Jul 9, 2025 to Feb 10, 2026
BD registered reps · 3 to 2
Jul 9, 2025 to Feb 10, 2026
Corporate clients · 7 to 9
Jul 9, 2025 to Feb 10, 2026
Employees · 11 to 13
Jul 9, 2025 to Feb 10, 2026
State-registered IARs · 3 to 2
Jul 9, 2025 to Feb 10, 2026
Other offices · 1 to 2
Jul 9, 2025 to Feb 10, 2026
Discretionary RAUM · $598M to $1.3B
Jul 9, 2025 to Feb 10, 2026
Non-discretionary RAUM · $0 to $5.2M
Jul 9, 2025 to Feb 10, 2026
RAUM · $598M to $1.3B
Jul 9, 2025 to Feb 10, 2026
Financial planning clients · unset to
Mar 19, 2025 to Jul 9, 2025
Accounts · 7 to 11
Oct 8, 2024 to Mar 19, 2025
Corporate clients · 6 to 7
Oct 8, 2024 to Mar 19, 2025
Discretionary RAUM · $189M to $598M
Oct 8, 2024 to Mar 19, 2025
RAUM · $189M to $598M
Oct 8, 2024 to Mar 19, 2025
Discretionary RAUM · $164M to $189M
Sep 20, 2024 to Oct 8, 2024
RAUM · $164M to $189M
Sep 20, 2024 to Oct 8, 2024
Accounts · 3 to 7
Aug 3, 2023 to Mar 29, 2024
Advisory activities · 1 to 2
Aug 3, 2023 to Mar 29, 2024
Corporate clients · unset to 6.0
Aug 3, 2023 to Mar 29, 2024
Employees · 6 to 11
Aug 3, 2023 to Mar 29, 2024
Discretionary RAUM · $40.1M to $164M
Aug 3, 2023 to Mar 29, 2024
RAUM · $40.1M to $164M
Aug 3, 2023 to Mar 29, 2024
Accounts · 1 to 3
Sep 26, 2022 to Feb 16, 2023
Advisory activities · 2 to 1
Sep 26, 2022 to Feb 16, 2023
Employees · 3 to 6
Sep 26, 2022 to Feb 16, 2023
State-registered IARs · 0 to 3
Sep 26, 2022 to Feb 16, 2023
Discretionary RAUM · $25.0M to $40.1M
Sep 26, 2022 to Feb 16, 2023
RAUM · $25.0M to $40.1M
Sep 26, 2022 to Feb 16, 2023
Accounts · 0 to 1
Aug 19, 2022 to Sep 13, 2022
Discretionary RAUM · $0 to $25.0M
Aug 19, 2022 to Sep 13, 2022
RAUM · $0 to $25.0M
Aug 19, 2022 to Sep 13, 2022
Organization form · Limited Liability Partnership to Limited Liability Company
Apr 21, 2022 to Aug 19, 2022

Signals

5 dated events

••• Locked
Feb 10, 2026 · RAUM change · derived
••• Locked
Mar 19, 2025 · RAUM change · derived
••• Locked
Aug 3, 2023 · Control person joined · fact
••• Locked
Aug 3, 2023 · Control person joined · fact
••• Locked
Apr 21, 2022 · 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, Feb 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 10, 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: Other adviserderiveda 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