DFX Intelligence

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U••••••••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $174M of regulatory assets.

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

As of 2026-04-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $174M
Advisors: 0
RAUM change, 1 year: +438%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-04-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+437.8%
RAUM, one year
RAUM $32.4M to $174M (+437.8%) on the Form ADV filed 17 Apr 2026, while advisors on the filing held at 1 and offices fell 1 to 0.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 322644 · SEC 801-126421 · 8 filingsShow

CRD 322644SEC 801-126421Legal name U•••••••• F••••• I•••First filing on the tape Jul 21, 2022, latest Apr 17, 2026SEC status approved since Aug 19, 2022IAPD

RAUM

$174M

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

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 +37% a year over three years · the tape starts Jul 21, 2022

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

RAUM$174M as of Apr 17, 2026

Mar 21, 2023$68.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Apr 17, 2026

Mar 21, 20230 then

Employees (5.A)6 as of Apr 17, 2026

Mar 21, 20233 then

Private funds1 as of Apr 17, 2026

Mar 21, 20231 then

RAUM +438% over the last fiscal year+37% a year over threeIARs 1 to 1offices 1 to 0

Practice profile

derived from the filing of Apr 17, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $174MderivedRAUM 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: $174MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 6.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +438%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% investment companies, 0.0% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow

Investment companies$174M100%
Pooled investment vehicles$10,2150.0%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived

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
V••••• F••• I••• L•	Private Equity Fund	$46.0M	79	Mar 31, 2022
U•••••••• H••• S••• F••• L•no longer reported	Hedge Fund	$12.3M	31	Dec 6, 2022

Owners and control persons

Schedule A and B, latest filing

E••••••• R•••••• T••••• · Director & Ceo & Chief Investment Officercontrol
since 02/2022 · owns 25% to 50%
S•••••••• M•••••••• A•• · Cco & Coocontrol
since 07/2023 · owns less than 5%
S•••••••• M•••••• · Managing Membercontrol
since 05/2023 · owns 75% or more of M••••••• F••• I• G• L••
M••••••• B•••• · Director & Chief Data Scientist
since 04/2022 · owns 5% to 10%
S•••••••• M•••••• · Director
since 02/2022 · owns 5% to 10%

Entity owners

F•••••••• C•••••• V• L••• · Member
direct · owns 10% to 25%
M••••••• F••• I• L• · Member
direct · owns 10% to 25%
M••••••• F••• I• G• L•• · General Partner
indirect · owns F of M••••••• F••• I• L•

Related persons

Schedule D 7.A

M•••••• S•••••••
pooled vehicle sponsorn
U•••••••• H••• S••• F••• G• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

Princeton, NJ2 employees

What changed

consecutive filings, newest first

Advisory employees · 2 to 3
Nov 28, 2025 to Apr 17, 2026
Employees · 8 to 6
Nov 28, 2025 to Apr 17, 2026
Other offices · 1 to 0
Nov 28, 2025 to Apr 17, 2026
Private funds · 2 to 1
Nov 28, 2025 to Apr 17, 2026
Discretionary RAUM · $132M to $174M
Nov 28, 2025 to Apr 17, 2026

Full history · 41 changes

Pooled vehicle RAUM · $31,888 to $10,215
Nov 28, 2025 to Apr 17, 2026
RAUM · $132M to $174M
Nov 28, 2025 to Apr 17, 2026
Private funds · 1 to 2
Feb 14, 2025 to Nov 28, 2025
Discretionary RAUM · $32.4M to $132M
Feb 14, 2025 to Nov 28, 2025
Pooled vehicle RAUM · $419,287 to $31,888
Feb 14, 2025 to Nov 28, 2025
RAUM · $32.4M to $132M
Feb 14, 2025 to Nov 28, 2025
Accounts · 2 to 1
Mar 29, 2024 to Feb 14, 2025
Employees · 7 to 8
Mar 29, 2024 to Feb 14, 2025
Financial planning clients · unset to
Mar 29, 2024 to Feb 14, 2025
State-registered IARs · 0 to 1
Mar 29, 2024 to Feb 14, 2025
Discretionary RAUM · $42.5M to $32.4M
Mar 29, 2024 to Feb 14, 2025
Pooled vehicle RAUM · $190,900 to $419,287
Mar 29, 2024 to Feb 14, 2025
RAUM · $42.5M to $32.4M
Mar 29, 2024 to Feb 14, 2025
Accounts · 1 to 2
Aug 18, 2023 to Mar 29, 2024
Advisory employees · 3 to 2
Aug 18, 2023 to Mar 29, 2024
Advisory activities · 1 to 2
Aug 18, 2023 to Mar 29, 2024
BD registered reps · 0 to 1
Aug 18, 2023 to Mar 29, 2024
Pooled vehicle clients · unset to 1.0
Aug 18, 2023 to Mar 29, 2024
Employees · 3 to 7
Aug 18, 2023 to Mar 29, 2024
Other offices · 0 to 1
Aug 18, 2023 to Mar 29, 2024
Discretionary RAUM · $68.0M to $42.5M
Aug 18, 2023 to Mar 29, 2024
Pooled vehicle RAUM · unset to 190900.0
Aug 18, 2023 to Mar 29, 2024
RAUM · $68.0M to $42.5M
Aug 18, 2023 to Mar 29, 2024
Accounts · 2 to 1
Dec 6, 2022 to Mar 21, 2023
Pooled vehicle clients · 1.0 to unset
Dec 6, 2022 to Mar 21, 2023
Discretionary RAUM · $56.0M to $68.0M
Dec 6, 2022 to Mar 21, 2023
Pooled vehicle RAUM · 11950000.0 to unset
Dec 6, 2022 to Mar 21, 2023
RAUM · $56.0M to $68.0M
Dec 6, 2022 to Mar 21, 2023
Accounts · 0 to 2
Jul 21, 2022 to Dec 6, 2022
Advisory employees · 2 to 3
Jul 21, 2022 to Dec 6, 2022
Pooled vehicle clients · unset to 1.0
Jul 21, 2022 to Dec 6, 2022
Employees · 2 to 3
Jul 21, 2022 to Dec 6, 2022
Private funds · unset to 1
Jul 21, 2022 to Dec 6, 2022
Discretionary RAUM · $0 to $56.0M
Jul 21, 2022 to Dec 6, 2022
Pooled vehicle RAUM · unset to 11950000.0
Jul 21, 2022 to Dec 6, 2022
RAUM · $0 to $56.0M
Jul 21, 2022 to Dec 6, 2022

Signals

5 dated events

••• Locked
Apr 17, 2026 · private fund no longer reported · inference
••• Locked
Apr 17, 2026 · ria indirect owner change · derived
••• Locked
Apr 17, 2026 · ria office closed · derived
••• Locked
Aug 18, 2023 · Control person joined · fact
••• Locked
Jul 21, 2022 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

U•••••••• · Independent Sponsors
same CRD · capital provider
U•••••••• · Private Equity
same CRD · organization

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Apr 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 17, 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

U•••••••• is the same institution as 2 records in Private Equity and Independent Sponsors.

Private Equity1Independent Sponsors1

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.