DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••••• C•••••• P•••••••• L•••
Latest filing Mar 16, 2026
First filing on the tape Sep 11, 2025 · 2 filings
SEC status approved since Nov 17, 2025
RAUM
$1.3B
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
15
10 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$1.3B as of Mar 16, 2026
Sep 11, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Sep 11, 20250 then
Employees (5.A)15 as of Mar 16, 2026
Sep 11, 202511 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 16, 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
- $418MderivedRAUM 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 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 pooled vehiclesreportedItem 5.G
- Custody
- $1.3B, 3 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- 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
- $1.3B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• L•••• C•••••••• · Chief Compliance Officer & Legal Counselcontrolsince 03/2026 · owns less than 5%
- C••••• D••••• B•••• · Managing Member, Limited Partner Limited Partner Limited Partnercontrolsince 01/2025 · owns 25% to 50%
- C••••• I••• S••• · Chief Financial Officercontrolsince 04/2025 · owns less than 5%
Entity owners
- H••••• C•••••• P••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 16, 2026advises private funds (Item 7.B): no on the filing of 2025-09-11, yes on the filing of 2026-03-16peers: asset managers, $1B to $5B (1,506)
- custody status changedChange between filings · filing Mar 16, 2026custody of client assets (Item 9.A): no on the filing of 2025-09-11, yes on the filing of 2026-03-16peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 0 to 3Sep 11, 2025 to Mar 16, 2026
- Advisory employees · 8 to 10Sep 11, 2025 to Mar 16, 2026
- Pooled vehicle clients · unset to 3.0Sep 11, 2025 to Mar 16, 2026
- Assets in custody · $0 to $1.3BSep 11, 2025 to Mar 16, 2026
- Custody of client assets · false to trueSep 11, 2025 to Mar 16, 2026
- Employees · 11 to 15Sep 11, 2025 to Mar 16, 2026
- Private funds · unset to 1Sep 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $0 to $1.3BSep 11, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · unset to 1255080173.0Sep 11, 2025 to Mar 16, 2026
- RAUM · $0 to $1.3BSep 11, 2025 to Mar 16, 2026
Signals
No event on the tape.
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
- h••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212 970 5500reportedpublic record, Form ADV, Mar 16, 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
- Asset manager (funds and pooled vehicles)deriveda 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