DFX Intelligence
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O••••••• I••
Other adviser, based in New York, New York, reporting $102M 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
- $102M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +19%
- Private clients
- 9.1% of RAUM, $9.3M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $85.7MRAUM now $102M
- portfolio management for pooled vehicles (Item 5.G.4) 1
- Contact points 2
Every filed figure, and the identifiersCRD 325277 · SEC 801-127559 · 9 filingsShowHide
CRD 325277SEC 801-127559First filing on the tape Mar 1, 2023, latest Sep 11, 2026SEC status approved since Mar 31, 2023IAPD
RAUM
$102M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
9.1%
$9.3M 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
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$102M as of Mar 24, 2026
Mar 22, 2024$47.3M then
HNW client RAUM$9.3M as of Mar 24, 2026
Mar 22, 2024$6.4M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 22, 20240 then
Employees (5.A)2 as of Mar 24, 2026
Mar 22, 20242 then
Private funds1 as of Mar 24, 2026
Mar 22, 20241 then
RAUM +19% over the last fiscal yearIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Sep 11, 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
- $9.3MderivedHNW RAUM over HNW clients
- Average account
- $14.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $45.0M, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$92.6M91%
- High-net-worth individuals$9.3M9.1%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.0M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.09 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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 |
|---|---|---|---|---|
| M•• G•••• M••••••• F••• L•• | Other Private Fund | $40.8M | 6 | Mar 22, 2024 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• G•••••• K• · Secretarycontrolsince 01/2023 · owns 25% to 50%
- M••••••••• K••••••• H••••••• · President / Chief Compliance Officercontrolsince 01/2023 · owns 75% or more
Related persons
Schedule D 7.A
- M•• G•••• M••••••• F••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Sep 11, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-03-24, yes on the filing of 2026-09-11peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Mar 24, 2026 to Sep 11, 2026
- Financial planning clients · to unsetMar 24, 2026 to Sep 11, 2026
- Other offices · 1 to 2Mar 24, 2026 to Sep 11, 2026
- Private funds · 1 to unsetMar 24, 2026 to Sep 11, 2026
- Succession · false to unsetMar 24, 2026 to Sep 11, 2026
- Accounts · 6 to 7Mar 25, 2025 to Mar 24, 2026
- Charity clients · unset to 0.0Mar 25, 2025 to Mar 24, 2026
- Corporate clients · 5 to 6Mar 25, 2025 to Mar 24, 2026
- Individual clients · unset to 0.0Mar 25, 2025 to Mar 24, 2026
- Pension plan clients · unset to 0.0Mar 25, 2025 to Mar 24, 2026
- Pooled vehicle clients · unset to 0.0Mar 25, 2025 to Mar 24, 2026
- Assets in custody · $40.8M to $45.0MMar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $47.6M to $57.6MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $6.3M to $9.3MMar 25, 2025 to Mar 24, 2026
- Individual RAUM · unset to 0.0Mar 25, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $38.0M to $44.3MMar 25, 2025 to Mar 24, 2026
- Pension RAUM · unset to 0.0Mar 25, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 25, 2025 to Mar 24, 2026
- RAUM · $85.7M to $102MMar 25, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 22, 2024 to Mar 25, 2025
- Accounts · 15 to 6Mar 22, 2024 to Mar 25, 2025
- Corporate clients · 1 to 5Mar 22, 2024 to Mar 25, 2025
- HNW clients · 2 to 1Mar 22, 2024 to Mar 25, 2025
- Other offices · 0 to 1Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $47.3M to $47.6MMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $6.4M to $6.3MMar 22, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $0 to $38.0MMar 22, 2024 to Mar 25, 2025
- RAUM · $47.3M to $85.7MMar 22, 2024 to Mar 25, 2025
- Assets in custody · unset to 40843445.0Aug 30, 2023 to Mar 22, 2024
- Custody of client assets · false to trueAug 30, 2023 to Mar 22, 2024
- Private funds · unset to 1Aug 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $46.9M to $47.3MAug 30, 2023 to Mar 22, 2024
- HNW RAUM · $6.1M to $6.4MAug 30, 2023 to Mar 22, 2024
- RAUM · $46.9M to $47.3MAug 30, 2023 to Mar 22, 2024
- Accounts · unset to 15.0Apr 10, 2023 to Jul 28, 2023
- Corporate clients · unset to 1.0Apr 10, 2023 to Jul 28, 2023
- HNW clients · unset to 2.0Apr 10, 2023 to Jul 28, 2023
- Discretionary RAUM · unset to 46881701.0Apr 10, 2023 to Jul 28, 2023
- HNW RAUM · unset to 6138269.0Apr 10, 2023 to Jul 28, 2023
- Non-discretionary RAUM · unset to 0.0Apr 10, 2023 to Jul 28, 2023
Signals
1 dated events
- ••• LockedMar 1, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••••• I•• · Family Officesshared crd · office
- O••••••• I•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Sep 11, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 11, 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