DFX Intelligence
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D••••• C•••••• P•••••••• L•
Institutional manager, based in New York, New York, reporting $715M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $715M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- bank affiliate (Item 7.A.6) 1
- Contact points 2
Every filed figure, and the identifiersCRD 323018 · SEC 801-134155 · 2 filingsShowHide
CRD 323018SEC 801-134155First filing on the tape Jul 11, 2025, latest Mar 27, 2026SEC status approved since Aug 11, 2025IAPD
RAUM
$715M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$715M as of Mar 27, 2026
Jul 11, 2025$57.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Jul 11, 20250 then
Employees (5.A)4 as of Mar 27, 2026
Jul 11, 20253 then
Private funds1 as of Mar 27, 2026
Jul 11, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 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
- 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
- $238MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 92%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
- unknownderivedbetween 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $55.1M, 2 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Sovereign wealth funds$660M92%
- Pooled investment vehicles$55.1M7.7%
- 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
- $55.1M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.08 institutional_share=0.92 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 |
|---|---|---|---|---|
| D••••• C•••••• P••••••• M••••• F•••• L• | Hedge Fund | $55.1M | 7 | Jan 27, 2023 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• E••• · Founder And Chief Investment Officercontrolsince 05/2022 · owns less than 5%
- S••••••••• S••••••• B••• · President And Partner | Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
Entity owners
- C•••••••• T•••••• L•• · Limited Partnerdirect · owns 75% or more
- D••••• C•••••• P••••••• · General Partnerdirect · owns less than 5%
- B••• M••••••• L•• · Limited Partnerdirect · owns 5% to 10%
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
- affiliate changedChange between filings · filing Mar 27, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-07-11, yes on the filing of 2026-03-27peers: institutional managers, $500M to $1B (71)
What changed
consecutive filings, newest first
- Accounts · 2 to 3Jul 11, 2025 to Mar 27, 2026
- Advisory employees · 2 to 3Jul 11, 2025 to Mar 27, 2026
- Assets in custody · $57.5M to $55.1MJul 11, 2025 to Mar 27, 2026
- Employees · 3 to 4Jul 11, 2025 to Mar 27, 2026
- Discretionary RAUM · $57.5M to $715MJul 11, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $57.5M to $55.1MJul 11, 2025 to Mar 27, 2026
- RAUM · $57.5M to $715MJul 11, 2025 to Mar 27, 2026
- Related bank · false to trueJul 11, 2025 to Mar 27, 2026
Signals
1 dated events
- ••• LockedMar 27, 2026 · RAUM change · derived
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 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 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
- Institutional managerderiveda 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