DFX Intelligence

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2••••••

Institutional managerSEC-registered· New York, New Yorkwebsite

Institutional manager, based in New York, New York, reporting $79.7M of regulatory assets.

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

As of 2026-06-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $79.7M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +0.6%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-06-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 328190 · SEC 801-128870 · 10 filingsShow

CRD 328190SEC 801-128870Legal name 2•••••• U• I•••First filing on the tape Sep 12, 2023, latest Jun 11, 2026SEC status approved since Nov 6, 2023IAPD

RAUM

$79.7M

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

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$79.7M as of Jun 11, 2026

Mar 1, 2024$249M then

HNW client RAUM: $0

State-registered IARs (5.B.3)0 as of Jun 11, 2026

Mar 1, 20240 then

Employees (5.A)2 as of Jun 11, 2026

Mar 1, 20244 then

Private funds: no history

RAUM +0.6% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jun 11, 2026; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

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: $79.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 100%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: +0.6%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, subscriptionreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, publicationsreportedItem 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pension and profit-sharing plans$79.7M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: 1reported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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•••••• K••••••• J••• · Ccocontrol
since 02/2024 · owns less than 5%
R•••• J•••• · Ceocontrol
since 02/2024 · owns less than 5%
S•••• D•••••• H•••••• · Chairman, Directorcontrol
since 01/2020 · owns less than 5%
W••••• S••••••• P•••••• · Directorcontrol
since 01/2023 · owns less than 5%

Entity owners

2•••••• A• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

2•••••• A•
investment advisery
2•••••• A••• L••
investment advisern
2•••••• E••••• A•
investment advisern
2•••••• E••••• L••
investment advisern
2•••••• S••••••••• A•
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $79.3M to $79.7M
Feb 10, 2025 to Feb 6, 2026
Pension RAUM · $79.3M to $79.7M
Feb 10, 2025 to Feb 6, 2026
RAUM · $79.3M to $79.7M
Feb 10, 2025 to Feb 6, 2026
Financial planning clients · unset to
Jan 24, 2025 to Feb 10, 2025
Advisory employees · 4 to 2
Sep 10, 2024 to Jan 24, 2025
BD registered reps · 2 to 0
Sep 10, 2024 to Jan 24, 2025
Employees · 4 to 2
Sep 10, 2024 to Jan 24, 2025
Discretionary RAUM · $80.7M to $79.3M
Sep 10, 2024 to Jan 24, 2025
Pension RAUM · $80.7M to $79.3M
Sep 10, 2024 to Jan 24, 2025
RAUM · $80.7M to $79.3M
Sep 10, 2024 to Jan 24, 2025
Accounts · 2 to 1
Jul 30, 2024 to Sep 10, 2024
Advisory activities · 3 to 2
Jul 30, 2024 to Sep 10, 2024
Discretionary RAUM · $75.0M to $80.7M
Jul 30, 2024 to Sep 10, 2024
Non-discretionary RAUM · $178M to $0
Jul 30, 2024 to Sep 10, 2024
Pension RAUM · $75.0M to $80.7M
Jul 30, 2024 to Sep 10, 2024
RAUM · $253M to $80.7M
Jul 30, 2024 to Sep 10, 2024
Accounts · 1 to 2
Mar 1, 2024 to Jul 30, 2024
Advisory employees · 3 to 4
Mar 1, 2024 to Jul 30, 2024
Advisory activities · 2 to 3
Mar 1, 2024 to Jul 30, 2024
Charity clients · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
Corporate clients · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
HNW clients · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
Individual clients · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
Pension plan clients · 0 to 1
Mar 1, 2024 to Jul 30, 2024
Pooled vehicle clients · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
Discretionary RAUM · $0 to $75.0M
Mar 1, 2024 to Jul 30, 2024
HNW RAUM · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
Individual RAUM · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
Non-discretionary RAUM · $249M to $178M
Mar 1, 2024 to Jul 30, 2024
Pension RAUM · $0 to $75.0M
Mar 1, 2024 to Jul 30, 2024
Pooled vehicle RAUM · 0.0 to unset
Mar 1, 2024 to Jul 30, 2024
RAUM · $249M to $253M
Mar 1, 2024 to Jul 30, 2024
Employees · 5 to 4
Nov 17, 2023 to Mar 1, 2024
Non-discretionary RAUM · $300M to $249M
Nov 17, 2023 to Mar 1, 2024
RAUM · $300M to $249M
Nov 17, 2023 to Mar 1, 2024

Signals

5 dated events

••• Locked
Sep 10, 2024 · RAUM change · derived
••• Locked
Mar 1, 2024 · Control person joined · fact
••• Locked
Mar 1, 2024 · Control person joined · fact
••• Locked
Mar 1, 2024 · Control person left · inference
••• Locked
Sep 12, 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, Jun 11, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 11, 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: Institutional managerderiveda 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