DFX Intelligence

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A••••••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered3 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $191M of regulatory assets.

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

As of 2026-07-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $191M
Advisors: 0
RAUM change, 1 year: +33%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-07-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+33.5%
RAUM, one year
RAUM $143M to $191M (+33.5%) on the Form ADV filed 1 Jul 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 327861 · SEC 801-128721 · 8 filingsShow

CRD 327861SEC 801-128721First filing on the tape Aug 11, 2023, latest Jul 1, 2026SEC status approved since Sep 11, 2023IAPD

RAUM

$191M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +33% over the last fiscal year · the tape starts Aug 11, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$191M as of Jul 1, 2026

Mar 22, 2024$107M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 1, 2026

Mar 22, 20240 then

Employees (5.A)4 as of Jul 1, 2026

Mar 22, 20244 then

Private funds3 as of Jul 1, 2026

Mar 22, 20242 then

RAUM +33% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jul 1, 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: $38.3MderivedRAUM 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: +33%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-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $191M, 5 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)
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)
marketing includes hypothetical performance (5.L.3)

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$191M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $191M for 5 clientsreported
Compensation: % of AUM, performancereported
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 departure Every 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

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A••••••• C••••• O••••••••• M••••• F••• L•	Hedge Fund	$135M	4	Jan 5, 2024
A••••••• C••••• O••••••••• O•••••• F••• L•no longer reported	Hedge Fund	$107M	3	Jan 5, 2024
A••••••• A•• I• L•	Other Private Fund	$33.2M	5	Jul 1, 2026
A••••••• C••••• L••• F••• L•	Other Private Fund	$23.4M	1	Jul 1, 2026

Owners and control persons

Schedule A and B, latest filing

S•••••••• R•••• · Ceocontrol
since 07/2023 · owns 75% or more
S•••••••• L••• M•••••• · Cco / Coocontrol
since 09/2023 · owns less than 5%
S•••••••• R•••• · Managing Membercontrol
since 06/2023 · owns 75% or more of A••••••• C•••••• M••••••••• L••

Entity owners

A••••••• C•••••• M••••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

A••••••• C•••••• M••••••••• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

private fund count surgeChange between filings · filing Mar 31, 2026
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-26 and 2026-03-31; the peer median change was 0.0% (731 comparable advisers, 95.0th percentile of changes)
peers: asset managers, $100M to $500M (731) · 95% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 3 to 5
Mar 26, 2025 to Mar 31, 2026
Pooled vehicle clients · 3 to 5
Mar 26, 2025 to Mar 31, 2026
Assets in custody · $143M to $191M
Mar 26, 2025 to Mar 31, 2026
Private funds · 2 to 3
Mar 26, 2025 to Mar 31, 2026
Discretionary RAUM · $143M to $191M
Mar 26, 2025 to Mar 31, 2026

Full history · 30 changes

Pooled vehicle RAUM · $143M to $191M
Mar 26, 2025 to Mar 31, 2026
RAUM · $143M to $191M
Mar 26, 2025 to Mar 31, 2026
Accounts · 2 to 3
Aug 2, 2024 to Mar 26, 2025
Pooled vehicle clients · 2 to 3
Aug 2, 2024 to Mar 26, 2025
Assets in custody · $107M to $143M
Aug 2, 2024 to Mar 26, 2025
Financial planning clients · unset to
Aug 2, 2024 to Mar 26, 2025
Discretionary RAUM · $107M to $143M
Aug 2, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $107M to $143M
Aug 2, 2024 to Mar 26, 2025
RAUM · $107M to $143M
Aug 2, 2024 to Mar 26, 2025
Assets in custody · unset to 106519558.0
Mar 22, 2024 to Aug 2, 2024
Custody of client assets · false to true
Mar 22, 2024 to Aug 2, 2024
Discretionary RAUM · $105M to $107M
Jan 5, 2024 to Mar 22, 2024
Pooled vehicle RAUM · $105M to $107M
Jan 5, 2024 to Mar 22, 2024
RAUM · $105M to $107M
Jan 5, 2024 to Mar 22, 2024
Accounts · unset to 2.0
Sep 12, 2023 to Jan 5, 2024
Advisory employees · 1 to 4
Sep 12, 2023 to Jan 5, 2024
Pooled vehicle clients · unset to 2.0
Sep 12, 2023 to Jan 5, 2024
Employees · 1 to 4
Sep 12, 2023 to Jan 5, 2024
Private funds · unset to 2
Sep 12, 2023 to Jan 5, 2024
Discretionary RAUM · unset to 105451190.0
Sep 12, 2023 to Jan 5, 2024
Non-discretionary RAUM · unset to 0.0
Sep 12, 2023 to Jan 5, 2024
Pooled vehicle RAUM · unset to 105451190.0
Sep 12, 2023 to Jan 5, 2024
RAUM · unset to 105451190.0
Sep 12, 2023 to Jan 5, 2024
HQ city · unset to NEW YORK
Aug 11, 2023 to Sep 12, 2023
HQ state · unset to NY
Aug 11, 2023 to Sep 12, 2023

Signals

9 dated events

••• Locked
Jul 1, 2026 · Control person joined · fact
••• Locked
Jul 1, 2026 · ria majority owner change · fact
••• Locked
Jul 1, 2026 · ria ownership band change · fact
••• Locked
Jul 1, 2026 · private fund first reported · fact
••• Locked
Jul 1, 2026 · private fund first reported · fact

Full timeline · 9 events

••• Locked
Jul 1, 2026 · private fund no longer reported · inference
••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 12, 2023 · Control person joined · fact
••• Locked
Aug 11, 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

Website: ••• Lockedreportedpublic record, Form ADV, Jul 1, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 1, 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

Across the graphs

A••••••• C•••••• M••••••••• L• is the same institution as 1 record in Private Credit.

Private Credit1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

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