DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S••••••• I••••••••• M••••••••• L•

Institutional managerSEC-registered1 private funds· New York, New Yorkwebsite

Institutional manager, based in New York, New York, reporting $227M of regulatory assets.

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

As of 2026-07-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $227M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-07-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

2 changes
ownership and control
1 control person joined and 1 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 →

Every filed figure, and the identifiersCRD 329963 · SEC 801-136497 · 5 filingsShow

CRD 329963SEC 801-136497First filing on the tape Mar 28, 2024, latest Jul 31, 2026SEC status approved since Jun 12, 2026IAPD

RAUM

$227M

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

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 28, 2024

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

RAUM$227M as of Jul 31, 2026

May 14, 2026$227M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 31, 2026

May 14, 20260 then

Employees (5.A)4 as of Jul 31, 2026

May 14, 20264 then

Private funds1 as of Jul 31, 2026

May 14, 20261 then

Practice profile

derived from the filing of Jul 31, 2026; every figure names its basis

Archetypes

Institutional asset manager

The rule behind each archetype, and every derived figure1 ruleShow

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: $56.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 95%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: 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $10.3M, 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

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

95% pension and profit-sharing plans, 4.6% pooled investment vehicles

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

Pension and profit-sharing plans$217M95%
Pooled investment vehicles$10.3M4.6%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $10.3M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 5% pooled funds, 95% 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

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

Fund	Type	Gross assets	Owners	First reported
S••••••• A••• O••••••••• M••••• F••• L•	Hedge Fund	$10.3M	32	Oct 1, 2024

Owners and control persons

Schedule A and B, latest filing

C•••••• R••••• N•• · Founder, Chief Investment Officercontrol
since 02/2024 · owns 75% or more
C•••• K• K• T••• · Chief Compliance Officercontrol
since 04/2024 · owns less than 5%

Entity owners

S••••••• M•••••• G• L•• · G•••••• P•••••• • L••••••
direct · 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.

What changed

consecutive filings, newest first

Accounts · unset to 4.0
Jul 8, 2024 to May 14, 2026
Advisory activities · 1 to 2
Jul 8, 2024 to May 14, 2026
Pooled vehicle clients · unset to 3.0
Jul 8, 2024 to May 14, 2026
Assets in custody · unset to 10329323.0
Jul 8, 2024 to May 14, 2026
Custody of client assets · false to true
Jul 8, 2024 to May 14, 2026

Full history · 14 changes

Employees · 3 to 4
Jul 8, 2024 to May 14, 2026
Financial planning clients · unset to 0
Jul 8, 2024 to May 14, 2026
Private funds · unset to 1
Jul 8, 2024 to May 14, 2026
Discretionary RAUM · unset to 226929323.0
Jul 8, 2024 to May 14, 2026
Non-discretionary RAUM · unset to 0.0
Jul 8, 2024 to May 14, 2026
Pension RAUM · unset to 216600000.0
Jul 8, 2024 to May 14, 2026
Pooled vehicle RAUM · unset to 10329323.0
Jul 8, 2024 to May 14, 2026
RAUM · unset to 226929323.0
Jul 8, 2024 to May 14, 2026
Related adviser · false to true
Jul 8, 2024 to May 14, 2026

Signals

7 dated events

••• Locked
Jul 31, 2026 · ria principal change · fact
••• Locked
Jul 31, 2026 · ria principal change · derived
••• Locked
Jul 31, 2026 · Control person left · inference
••• Locked
Jul 31, 2026 · Control person joined · fact
••• Locked
May 14, 2026 · ria registration change · fact

Full timeline · 7 events

••• Locked
Oct 1, 2024 · ria registration change · fact
••• Locked
Mar 28, 2024 · 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 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 31, 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: Institutional managerderiveda 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, RAUM change, 1 year.