DFX Intelligence

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A•••• P••••••• U• L••

Wealth manager with institutional or fund businessSEC-registered1 private funds· New York, New Yorkwebsite

Wealth manager with institutional or fund business, based in New York, New York, reporting $71.3M of regulatory assets across 2 registered advisors.

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

As of 2026-07-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $71.3M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +55%
Private clients: 35%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-07-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

4 changes
ownership and control
2 control persons joined and 2 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+55.0%
RAUM, one year
RAUM $46M to $71.3M (+55.0%) on the Form ADV filed 30 Jul 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 327986 · SEC 801-129204 · 16 filingsShow

CRD 327986SEC 801-129204First filing on the tape Nov 14, 2023, latest Jul 30, 2026SEC status approved since Dec 22, 2023IAPD

RAUM

$71.3M

reported, Item 5.F

Discretionary

65%

of RAUM

Private clients

35%

$25.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$35.6M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM +55% over the last fiscal year · the tape starts Nov 14, 2023

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

RAUM$71.3M as of Jul 30, 2026

Mar 28, 2024$0 then

HNW client RAUM$25.0M as of Jul 30, 2026

Mar 19, 2025$46.0M then

State-registered IARs (5.B.3)2 as of Jul 30, 2026

Mar 28, 20240 then

Employees (5.A)6 as of Jul 30, 2026

Mar 28, 20243 then

Private funds1 as of Jul 30, 2026

Mar 30, 20261 then

RAUM +55% over the last fiscal yearIARs 0 to 2

Practice profile

derived from the filing of Jul 30, 2026; every figure names its basis

Archetypes

Dual wealth and asset manager

The rule behind each archetype, and every derived figure1 rulesShow

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

RAUM per advisor: $35.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $25.0MderivedHNW RAUM over HNW clients
Average account: $35.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 65%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +55%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $38.0M, 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

has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

65% pooled investment vehicles, 35% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow

Pooled investment vehicles$46.3M65%
High-net-worth individuals$25.0M35%

Individual clients: n/areported
HNW clients: 1reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $38.0M for 1 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 35% private clients, 65% pooled funds, 0% institutions; no related broker-dealer; no related bank; 500% of advisors also broker-dealer representativesderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M••••• A•••••••••	Miami, Fl	Apr 17, 2025	10 y	0
L••• M•••• D••• L•••	Miami, Fl	Apr 17, 2025	11 y	0

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A•••• P••••••• L••• I• L•	Private Equity Fund	$46.3M	16	Jul 30, 2026

Owners and control persons

Schedule A and B, latest filing

G•••••• J••••• E• •••• · Executive Officercontrol
since 01/2023 · owns less than 5%
K••••••••• A••••••• K••••••••• · Executive Officercontrol
since 01/2023 · owns less than 5%
J••••• A••• H• G• M• H• · Directorcontrol
since 08/2019 · owns 75% or more of A•••• L••••••
G•••••••• C•••••• J••••• · Chief Compliance Officer
since 05/2023 · owns less than 5%

Entity owners

A•••• L•••••• · Sole Member
direct · owns 75% or more

Related persons

Schedule D 7.A

A•••• M••••• E••• L••••••
broker-dealerinvestment advisern
A•••• M••••• S••
broker-dealerinvestment advisern
A•••• P••••••• L••
broker-dealerinvestment advisern
A•••• S••••• S•
broker-dealerinvestment advisern

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Miami, Fl	2	0	0

Offices

Schedule D 1.F, the 25 largest

Miami, FL1 employees

ADV anomalies

3 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Mar 30, 2026
HNW share of RAUM moved from 100.0% to 35.0% between the annual amendments of 2025-03-19 and 2026-03-30
peers: independent wealth managers, under $100M (706)
client mix shiftChange between filings · filing Mar 30, 2026
private-client share of RAUM moved from 100.0% to 35.0% between the annual amendments of 2025-03-19 and 2026-03-30
peers: independent wealth managers, under $100M (706)
discretionary share shiftChange between filings · filing Mar 30, 2026
discretionary share of RAUM moved from 100.0% to 65.0% between the annual amendments of 2025-03-19 and 2026-03-30
peers: independent wealth managers, under $100M (706)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1 to 2
Oct 27, 2025 to Mar 30, 2026
Advisory employees · 4 to 6
Oct 27, 2025 to Mar 30, 2026
Advisory activities · 5 to 3
Oct 27, 2025 to Mar 30, 2026
BD registered reps · 3 to 5
Oct 27, 2025 to Mar 30, 2026
HNW clients · unset to 1.0
Oct 27, 2025 to Mar 30, 2026

Full history · 38 changes

Pooled vehicle clients · unset to 1.0
Oct 27, 2025 to Mar 30, 2026
Assets in custody · unset to 38000000.0
Oct 27, 2025 to Mar 30, 2026
Custody of client assets · false to true
Oct 27, 2025 to Mar 30, 2026
Employees · 9 to 6
Oct 27, 2025 to Mar 30, 2026
Financial planning clients · 0 to
Oct 27, 2025 to Mar 30, 2026
Private funds · unset to 1
Oct 27, 2025 to Mar 30, 2026
Discretionary RAUM · $46.0M to $46.3M
Oct 27, 2025 to Mar 30, 2026
HNW RAUM · $46.0M to $25.0M
Oct 27, 2025 to Mar 30, 2026
Non-discretionary RAUM · $0 to $25.0M
Oct 27, 2025 to Mar 30, 2026
Pooled vehicle RAUM · unset to 46300000.0
Oct 27, 2025 to Mar 30, 2026
RAUM · $46.0M to $71.3M
Oct 27, 2025 to Mar 30, 2026
Related broker-dealer · true to false
Oct 27, 2025 to Mar 30, 2026
BD registered reps · 0 to 3
Jun 17, 2025 to Oct 27, 2025
Financial planning clients · 0 to 0
Jun 17, 2025 to Oct 27, 2025
State-registered IARs · 0 to 2
Jun 17, 2025 to Oct 27, 2025
Advisory employees · 2 to 4
Dec 19, 2024 to Mar 19, 2025
Employees · 6 to 9
Dec 19, 2024 to Mar 19, 2025
Discretionary RAUM · $25.0M to $46.0M
Dec 19, 2024 to Mar 19, 2025
HNW RAUM · $25.0M to $46.0M
Dec 19, 2024 to Mar 19, 2025
RAUM · $25.0M to $46.0M
Dec 19, 2024 to Mar 19, 2025
Other offices · 0 to 1
Apr 18, 2024 to May 23, 2024
Accounts · 0 to 1
Mar 28, 2024 to Apr 18, 2024
Advisory activities · 4 to 5
Mar 28, 2024 to Apr 18, 2024
Employees · 3 to 6
Mar 28, 2024 to Apr 18, 2024
Discretionary RAUM · $0 to $25.0M
Mar 28, 2024 to Apr 18, 2024
HNW RAUM · unset to 25000000.0
Mar 28, 2024 to Apr 18, 2024
RAUM · $0 to $25.0M
Mar 28, 2024 to Apr 18, 2024
Accounts · unset to 0.0
Dec 20, 2023 to Mar 28, 2024
Discretionary RAUM · unset to 0.0
Dec 20, 2023 to Mar 28, 2024
Non-discretionary RAUM · unset to 0.0
Dec 20, 2023 to Mar 28, 2024
RAUM · unset to 0.0
Dec 20, 2023 to Mar 28, 2024
Advisory employees · 3 to 2
Nov 14, 2023 to Dec 11, 2023
Financial planning clients · unset to 0
Nov 14, 2023 to Dec 11, 2023

Signals

15 dated events

••• Locked
Jul 30, 2026 · Control person joined · fact
••• Locked
Jul 30, 2026 · Control person left · inference
••• Locked
Jul 30, 2026 · Control person joined · fact
••• Locked
Jul 30, 2026 · private fund first reported · fact
••• Locked
Jul 30, 2026 · ria indirect owner change · derived

Full timeline · 15 events

••• Locked
Jul 30, 2026 · ria indirect owner change · fact
••• Locked
Jul 30, 2026 · ria indirect owner change · fact
••• Locked
Jul 30, 2026 · ria principal change · fact
••• Locked
Jul 30, 2026 · Control person left · inference
••• Locked
Jul 30, 2026 · ria principal change · derived
••• Locked
Jul 30, 2026 · ria principal change · fact
••• Locked
Jul 30, 2026 · ria office opened · fact
••• Locked
Jul 30, 2026 · ria office closed · derived
••• Locked
Dec 11, 2023 · Control person joined · fact
••• Locked
Nov 14, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

A•••• P••••••• U• L•• · Independent Sponsors
same CRD · capital provider
A•••• P••••••• U• L•• · Private Equity
same CRD · organization

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 30, 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $35.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026