DFX Intelligence

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2••••••• U• L••

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

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $4.4M of regulatory assets.

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

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $4.4M
Advisors: 0
RAUM change, 1 year: -88%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Mar 2026, 5 control persons joined and 3 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 328136 · SEC 801-128769 · 9 filingsShow

CRD 328136SEC 801-128769First filing on the tape Aug 22, 2023, latest Mar 24, 2026SEC status approved since Oct 4, 2023IAPD

RAUM

$4.4M

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

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM -88% over the last fiscal year · the tape starts Aug 22, 2023

Peer group: Asset managers, under $100M, 329 firms

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

RAUM$4.4M as of Mar 24, 2026

Mar 28, 2024$18.7M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 24, 2026

Mar 28, 20240 then

Employees (5.A)25 as of Mar 24, 2026

Mar 28, 202421 then

Private funds: no history

RAUM -88% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 24, 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: $876,893derivedRAUM 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: -88%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 assetsreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 5.G
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow

Investment companies$4.4M100%

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: noreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bank; 500% of advisors also broker-dealer representativesderived

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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••••• J•••••• A••••• · Chief Compliance Officercontrol
since 07/2024 · owns less than 5%
R••••••• H•••• A•••• · Co-Founder And Ceocontrol
since 06/2021 · owns less than 5%
S•••••• O••••••• B••••• · Co-Founder And Presidentcontrol
since 06/2021 · owns less than 5%
R••••••• S••••• A•••• · Shareholdercontrol
since 05/2020 · owns 50% to 75% of O•••• O•••••• H••••••• L••

Entity owners

J••• P•••••• I••• · Managing Member
direct · owns 75% or more
2••• H••••••• L•• · Shareholder
indirect · owns 75% or more of J••• P•••••• L•••
J••• P•••••• A• · Shareholder
indirect · owns 75% or more of J••• P•••••• I•••
J••• P•••••• L••• · Shareholder
indirect · owns 75% or more of J••• P•••••• A•
O•••• O•••••• H••••••• L•• · Shareholder
indirect · owns 50% to 75% of 2••• H••••••• L••

Ownership changes

5 Schedule A changes between consecutive filings, latest first

Added 2••• H••••••• L•• · Shareholder control
filing of Jul 24, 2024, against Mar 28, 2024 · owns 75% or more · entity
Added J••••• D••••••• A••••• · Chief Compliance Officer control
filing of Jul 24, 2024, against Mar 28, 2024 · owns under 5%
Removed A••• H••••••• L•• · Shareholder control
filing of Jul 24, 2024, against Mar 28, 2024 · owns 75% or more · entity
Removed B•••• M•••••••• T••••• · Chief Compliance Officer
filing of Jul 24, 2024, against Mar 28, 2024 · owns under 5%
Removed L••• R••••••• J••• · Chief Operating Officer control
filing of Oct 13, 2023, against Aug 22, 2023 · owns under 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 5
Jan 15, 2026 to Mar 24, 2026
BD registered reps · 6 to 5
Jan 15, 2026 to Mar 24, 2026
Discretionary RAUM · $3.7M to $4.4M
Jan 15, 2026 to Mar 24, 2026
RAUM · $3.7M to $4.4M
Jan 15, 2026 to Mar 24, 2026
Accounts · 5 to 4
Mar 26, 2025 to Dec 17, 2025

Full history · 24 changes

BD registered reps · 4 to 6
Mar 26, 2025 to Dec 17, 2025
Employees · 23 to 25
Mar 26, 2025 to Dec 17, 2025
Discretionary RAUM · $36.3M to $3.7M
Mar 26, 2025 to Dec 17, 2025
RAUM · $36.3M to $3.7M
Mar 26, 2025 to Dec 17, 2025
BD registered reps · 1 to 4
Jul 24, 2024 to Mar 26, 2025
Employees · 21 to 23
Jul 24, 2024 to Mar 26, 2025
Financial planning clients · unset to
Jul 24, 2024 to Mar 26, 2025
Discretionary RAUM · $38.1M to $36.3M
Jul 24, 2024 to Mar 26, 2025
RAUM · $38.1M to $36.3M
Jul 24, 2024 to Mar 26, 2025
Discretionary RAUM · $18.7M to $38.1M
Mar 28, 2024 to Jul 24, 2024
RAUM · $18.7M to $38.1M
Mar 28, 2024 to Jul 24, 2024
Advisory employees · 5 to 10
Dec 4, 2023 to Mar 28, 2024
BD registered reps · 0 to 1
Dec 4, 2023 to Mar 28, 2024
Employees · 10 to 21
Dec 4, 2023 to Mar 28, 2024
Discretionary RAUM · $6.2M to $18.7M
Dec 4, 2023 to Mar 28, 2024
RAUM · $6.2M to $18.7M
Dec 4, 2023 to Mar 28, 2024
Accounts · 0 to 5
Oct 13, 2023 to Dec 4, 2023
Discretionary RAUM · $0 to $6.2M
Oct 13, 2023 to Dec 4, 2023
RAUM · $0 to $6.2M
Oct 13, 2023 to Dec 4, 2023

Signals

22 dated events

••• Locked
Mar 24, 2026 · Control person joined · fact
••• Locked
Mar 24, 2026 · Control person joined · fact
••• Locked
Mar 24, 2026 · Control person joined · fact
••• Locked
Mar 24, 2026 · Control person joined · fact
••• Locked
Mar 24, 2026 · ria indirect owner change · derived

Full timeline · 22 events

••• Locked
Mar 24, 2026 · ria indirect owner change · fact
••• Locked
Mar 24, 2026 · ria indirect owner change · derived
••• Locked
Mar 24, 2026 · ria principal change · fact
••• Locked
Mar 24, 2026 · ria principal change · fact
••• Locked
Mar 24, 2026 · ria principal change · fact
••• Locked
Mar 24, 2026 · ria principal change · fact
••• Locked
Mar 24, 2026 · ria principal change · fact
••• Locked
Mar 24, 2026 · ria principal change · derived
••• Locked
Mar 24, 2026 · ria principal change · derived
••• Locked
Mar 24, 2026 · ria principal change · derived
••• Locked
Mar 24, 2026 · Control person joined · fact
••• Locked
Mar 24, 2026 · Control person left · inference
••• Locked
Mar 24, 2026 · Control person left · inference
••• Locked
Mar 24, 2026 · Control person left · inference
••• Locked
Jul 24, 2024 · Control person joined · fact
••• Locked
Oct 13, 2023 · Control person left · inference
••• Locked
Aug 22, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (2), LinkedIn company page (1), X (Twitter) (1) · the addresses open with an account

4 earlier addresses on Form ADV filings, the earliest seen Dec 4, 2023

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 24, 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

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