DFX Intelligence

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A••••• I••••••••• C•••••• L•

Other adviserSEC-registered· New York, New Yorkwebsite

Other adviser, based in New York, New York, reporting $289M of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $289M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +169%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +169% over the last fiscal year, to $289M.
2026-03-31
RAUM a year earlier $107MRAUM now $289M
performance-based compensation (Item 5.E.6): no on the filing of 2025-06-17, yes on the filing of 2026-03-31
2026-03-31
performance-based compensation (Item 5.E.6) 1
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 326032 · SEC 801-130205 · 5 filingsShow

CRD 326032SEC 801-130205First filing on the tape Apr 3, 2024, latest Mar 31, 2026SEC status approved since May 7, 2024IAPD

RAUM

$289M

reported, Item 5.F

Discretionary

0.0%

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

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM$289M as of Mar 31, 2026

Mar 13, 2025$107M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 13, 20250 then

Employees (5.A)11 as of Mar 31, 2026

Mar 13, 202510 then

Private funds: no history

RAUM +169% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: unknownderivedHNW RAUM over HNW clients
Average account: $144MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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 offices incl. principal (1.F.5)
RAUM growth, one year: +169%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, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 5.G
Custody: $121,330, 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)
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)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $121,330 for 1 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••••• M••••••• A•••••• · Partnercontrol
since 02/2023 · owns less than 5%
L••• D•••••• M••••••• · Chief Compliance Officercontrol
since 02/2024 · owns less than 5%
S••••• T••••••• O••• R•••••• · Managing Partnercontrol
since 02/2023 · owns less than 5%
T•••••• J••••• S••••••• · Chief Administrative Officercontrol
since 05/2023 · owns less than 5%
H•••••••• M••••••• A•••••• · Membercontrol
since 02/2023 · owns 25% to 50% of A••••• P•••••••• B• H••••••• L••
M••••••• C••••• W•••••• · Managing Membercontrol
since 02/2023 · owns 75% or more of C•••••••• H••••••• L••
S••••• T••••••• O••• R•••••• · Managing Membercontrol
since 02/2023 · owns 75% or more of A••••• I••••••••• C••••••• L••
S••••• T••••••• O••• R•••••• · Managing Membercontrol
since 02/2023 · owns 75% or more of C•••••• A••••• H••••••• L••
D••••• J••••• A•••••• S•••••• · Shareholder
since 12/2023 · owns 75% or more of G••••••••• P•• L••
G••••••••• B•••••••• R••••• · Shareholder
since 12/2022 · owns 75% or more of B••••• E••••• P•• L••

Entity owners

A••••• E•••••••• H••••••• L•• · Limited Partner
direct · owns 50% to 75%
A••••• I••••••••• C••••••• L•• · General Partner
direct · owns less than 5%
A••••• P•••••••• A• H••••••• •• B••••••• L•• · Member
indirect · owns 25% to 50% of A••••• P•••••••• A• H••••••• L••
C•••••• A••••• H••••••• L•• · Managing Member
indirect · owns 25% to 50% of A••••• P•••••••• B• H••••••• L••
C•••••• A••••• H••••••• L•• · Managing Member
indirect · owns F of A••••• P•••••••• A• H••••••• •• B••••••• L••
C•••••• A••••• H••••••• L•• · Managing Member
indirect · owns 50% to 75% of A••••• E•••••••• H••••••• L••
C•••••• A••••• H••••••• L•• · Managing Member
indirect · owns F of A••••• P•••••••• A• H••••••• L••
A••••• P•••••••• A• H••••••• L•• · Limited Partner
direct · owns 10% to 25%
A••••• P•••••••• B• H••••••• L•• · Limited Partner
direct · owns 10% to 25%
C•••••••• H••••••• L•• · Limited Partner
direct · owns 5% to 10%
B••••• E••••• P•• L•• · Unitholder
indirect · owns 75% or more of S•••••• E••••• P•• L••
G••••••••• P•• L•• · Member
indirect · owns 25% to 50% of A••••• P•••••••• A• H••••••• •• B••••••• L••
S•••••• E••••• P•• L•• · Member
indirect · owns 25% to 50% of A••••• P•••••••• A• H••••••• •• B••••••• L••

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

4 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Mar 31, 2026
discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: other advisers, $100M to $500M (212) · 0.0% percentile
compensation changedChange between filings · filing Mar 31, 2026
performance-based compensation (Item 5.E.6): no on the filing of 2025-06-17, yes on the filing of 2026-03-31
peers: other advisers, $100M to $500M (212)
custody status changedChange between filings · filing Mar 31, 2026
custody of client assets (Item 9.A): no on the filing of 2025-06-17, yes on the filing of 2026-03-31
peers: other advisers, $100M to $500M (212)
RAUM up 50 %Change between filings · filing Mar 31, 2026
RAUM (Item 5.F) moved from $107,398,673 to $288,563,019 (+169.0%) between the annual amendments of 2025-03-13 and 2026-03-31; the peer median change was +8.0% (161 comparable advisers, 99.0th percentile of changes)
peers: other advisers, $100M to $500M (161) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1 to 2
Jun 17, 2025 to Mar 31, 2026
Advisory employees · 9 to 10
Jun 17, 2025 to Mar 31, 2026
Assets in custody · unset to 121330.0
Jun 17, 2025 to Mar 31, 2026
Custody of client assets · false to true
Jun 17, 2025 to Mar 31, 2026
Employees · 10 to 11
Jun 17, 2025 to Mar 31, 2026
Non-discretionary RAUM · $107M to $289M
Jun 17, 2025 to Mar 31, 2026
RAUM · $107M to $289M
Jun 17, 2025 to Mar 31, 2026
Financial planning clients · 0 to 0
Mar 13, 2025 to Jun 17, 2025
Accounts · 0 to 1
Apr 3, 2024 to Sep 3, 2024
Advisory activities · 3 to 1
Apr 3, 2024 to Sep 3, 2024
Employees · 9 to 10
Apr 3, 2024 to Sep 3, 2024
Non-discretionary RAUM · $0 to $107M
Apr 3, 2024 to Sep 3, 2024
RAUM · $0 to $107M
Apr 3, 2024 to Sep 3, 2024

Signals

2 dated events

••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Apr 3, 2024 · 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, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 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