DFX Intelligence

RIA Intelligence

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R••••• I••••••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $429M of regulatory assets.

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

Regulatory AUM
$429M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+32%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +31.6%
    RAUM, one year

    RAUM $326M to $429M (+31.6%) on the Form ADV filed 31 Mar 2026.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 325109 · SEC 801-129008 · 10 filingsShow
CRD 325109SEC 801-129008First filing on the tape Mar 7, 2023, latest Mar 31, 2026SEC status approved since Nov 6, 2023IAPD
RAUM
$429M
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
Not computed
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape

RAUM +32% over the last fiscal year · the tape starts Mar 7, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$429M as of Mar 31, 2026
Apr 1, 2024$315M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20240 then
Employees (5.A)7 as of Mar 31, 2026
Apr 1, 20246 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$143MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year
+32%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 assetsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$429M100%
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
% of AUMreported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• N••••••• N•• · Chief Executive Officer/Managercontrol
        since 04/2022 · owns less than 5%
      • B•••••• J•••• I•••••• · Managercontrol
        since 04/2022 · owns less than 5%
      • D• L• M••• G•••••• R•••••• · Managercontrol
        since 07/2023 · owns less than 5%
      • L••••••• D••••• L••••• · Managercontrol
        since 04/2022 · owns less than 5%
      • P••••••••• C••••••• B•••• · Chief Compliance Officercontrol
        since 12/2022 · owns less than 5%
      All 12 control persons
      • D• L• M••••••••• P•••• L• B•••• · Trusteecontrol
        since 09/2014 · owns F of V••••• F•••••••••
      • D••••••• S•••••••• T••••••• · Trusteecontrol
        since 09/2014 · owns F of J•••••• T•••• C•••••• E•••••••••
      • H•••••• I•••• N•• · Trusteecontrol
        since 09/2014 · owns F of J•••••• T•••• C•••••• E•••••••••
      • L••••••• D••••• L••••• · Trusteecontrol
        since 09/2014 · owns F of V••••• F•••••••••
      • M•••••• T•••••• F•••••••• · Trusteecontrol
        since 09/2014 · owns F of V••••• F•••••••••
      • N••••••••• M••• R••••• · Trusteecontrol
        since 09/2014 · owns F of J•••••• T•••• C•••••• E•••••••••
      • S••••••••• R•••••• M••••• · Trusteecontrol
        since 09/2014 · owns F of J•••••• T•••• C•••••• E•••••••••
      Entity owners
      • N••• I••••• S•• R••• · Shareholder
        direct · owns 75% or more
      • J•••••• T•••• C•••••• E••••••••• · Trustee
        indirect · owns F of V••••• F•••••••••
      • Q••••• E••••••••• · Shareholder
        indirect · owns 75% or more of N••• I••••• S•• R•••
      • V••••• F••••••••• · Holder Of The Founder'S Rights
        indirect · owns 75% or more of Q••••• E•••••••••
      Related persons
      Schedule D 7.A
      • R••••• I••••••••• M••••••••• S•••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 6 to 7
        Mar 18, 2025 to Mar 31, 2026
      • Discretionary RAUM · $326M to $429M
        Mar 18, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $326M to $429M
        Mar 18, 2025 to Mar 31, 2026
      • RAUM · $326M to $429M
        Mar 18, 2025 to Mar 31, 2026
      • Financial planning clients · unset to
        Nov 5, 2024 to Mar 18, 2025
      Full history · 32 changes
      • Discretionary RAUM · $316M to $326M
        Nov 5, 2024 to Mar 18, 2025
      • Pooled vehicle RAUM · $316M to $326M
        Nov 5, 2024 to Mar 18, 2025
      • RAUM · $316M to $326M
        Nov 5, 2024 to Mar 18, 2025
      • Discretionary RAUM · $315M to $316M
        Apr 1, 2024 to Nov 5, 2024
      • Pooled vehicle RAUM · $315M to $316M
        Apr 1, 2024 to Nov 5, 2024
      • RAUM · $315M to $316M
        Apr 1, 2024 to Nov 5, 2024
      • Accounts · 1 to 3
        Mar 1, 2024 to Apr 1, 2024
      • Advisory employees · 3 to 4
        Mar 1, 2024 to Apr 1, 2024
      • Advisory activities · 2 to 1
        Mar 1, 2024 to Apr 1, 2024
      • Pooled vehicle clients · unset to 3.0
        Mar 1, 2024 to Apr 1, 2024
      • Discretionary RAUM · $0 to $315M
        Mar 1, 2024 to Apr 1, 2024
      • Non-discretionary RAUM · $550M to $0
        Mar 1, 2024 to Apr 1, 2024
      • Pooled vehicle RAUM · unset to 315100000.0
        Mar 1, 2024 to Apr 1, 2024
      • RAUM · $550M to $315M
        Mar 1, 2024 to Apr 1, 2024
      • Accounts · unset to 1.0
        Oct 4, 2023 to Mar 1, 2024
      • Charity clients · 0.0 to unset
        Oct 4, 2023 to Mar 1, 2024
      • Corporate clients · 0.0 to unset
        Oct 4, 2023 to Mar 1, 2024
      • HNW clients · 0.0 to unset
        Oct 4, 2023 to Mar 1, 2024
      • Individual clients · 0.0 to unset
        Oct 4, 2023 to Mar 1, 2024
      • Pension plan clients · 0.0 to unset
        Oct 4, 2023 to Mar 1, 2024
      • Pooled vehicle clients · 0.0 to unset
        Oct 4, 2023 to Mar 1, 2024
      • Discretionary RAUM · unset to 0.0
        Oct 4, 2023 to Mar 1, 2024
      • Non-discretionary RAUM · unset to 550000000.0
        Oct 4, 2023 to Mar 1, 2024
      • RAUM · unset to 550000000.0
        Oct 4, 2023 to Mar 1, 2024
      • Advisory employees · 1 to 3
        May 12, 2023 to Oct 4, 2023
      • Employees · 2 to 6
        May 12, 2023 to Oct 4, 2023
      • Related adviser · false to true
        May 12, 2023 to Oct 4, 2023
      Signals
      8 dated events
      • ••• Locked
        Mar 31, 2026 · ria indirect owner change · fact
      • ••• Locked
        Mar 31, 2026 · ria indirect owner change · derived
      • ••• Locked
        Mar 31, 2026 · ria indirect owner change · derived
      • ••• Locked
        Mar 31, 2026 · ria indirect owner change · fact
      • ••• Locked
        Mar 31, 2026 · RAUM change · derived
      Full timeline · 8 events
      • ••• Locked
        Apr 1, 2024 · RAUM change · derived
      • ••• Locked
        Oct 4, 2023 · Control person joined · fact
      • ••• Locked
        Mar 7, 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 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

      Not yet on record: net advisor flow, 12 months.