DFX Intelligence

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S••••••••• C•••••• M••••••••• 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 $200M of regulatory assets.

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

As of 2026-09-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $200M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 330801 · SEC 801-133958 · 4 filingsShow

CRD 330801SEC 801-133958First filing on the tape Jun 25, 2025, latest Sep 10, 2026SEC status approved since Jul 28, 2025IAPD

RAUM

$200M

reported, Item 5.F

Discretionary

97%

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

4 filings and snapshots on the tape

Filed figures over time · the tape starts Jun 25, 2025

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

RAUM$188M as of Apr 21, 2026

Jun 25, 2025$156M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 21, 2026

Jun 25, 20250 then

Employees (5.A)6 as of Apr 21, 2026

Jun 25, 20255 then

Private funds1 as of Apr 21, 2026

Jun 25, 20251 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Sep 10, 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: $39.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 97%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: 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 pooled vehiclesreportedItem 5.G
Custody: $193M, 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

has discretionary authority over which securities are bought or sold (8.C.1)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

98% pooled investment vehicles, 1.8% investment companies

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

Pooled investment vehicles$196M98%
Investment companies$3.7M1.8%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $193M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a 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••••••••• C•••••• M••••• F••• L•	Hedge Fund	$193M	13	May 29, 2024

Owners and control persons

Schedule A and B, latest filing

No Schedule A on the extract for this adviser.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 5 fund-person rows in all

Name	Where	Funds	Filings	Named
A•• H•••••executive officer	New York, NY	1	3	Mar 26, 2024 to Mar 9, 2026
G••••• B••••••••director	Grand Cayman, E9	1	3	Mar 26, 2024 to Mar 9, 2026
J••••••• B•••director	Grand Cayman, E9	1	3	Mar 26, 2024 to Mar 9, 2026
L•• S•••••director	Grand Cayman, E9	1	3	Mar 26, 2024 to Mar 9, 2026
S••••••••• C•••••• G• L••entityexecutive officer	New York, NY	1	3	Mar 26, 2024 to Mar 9, 2026

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (0 of 5 here); every other name is as filed and is not joined to anyone.

13F holdings

quarter ended Jun 30, 2026, filed Aug 13, 2026

Reported value: $104M+9.3% on Mar 31, 2026 ($94.8M)reportedsec.gov
Positions: 16 in 16 issuers-11.1% on the quarterreported
Concentration: top 10 issuers 78%, largest 11%derivedlargest: Johnson Controls Internation
Filed as: S••••••••• C•••••• M••••••••• L••reportedmatched by the 13F filer reports this CRD

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 · 3 to 5
Apr 21, 2026 to Sep 10, 2026
Pooled vehicle clients · 3 to 4
Apr 21, 2026 to Sep 10, 2026
Assets in custody · $188M to $193M
Apr 21, 2026 to Sep 10, 2026
Financial planning clients · to unset
Apr 21, 2026 to Sep 10, 2026
Private funds · 1 to unset
Apr 21, 2026 to Sep 10, 2026

Full history · 16 changes

Discretionary RAUM · $188M to $193M
Apr 21, 2026 to Sep 10, 2026
Non-discretionary RAUM · $0 to $6.9M
Apr 21, 2026 to Sep 10, 2026
Pooled vehicle RAUM · $188M to $196M
Apr 21, 2026 to Sep 10, 2026
RAUM · $188M to $200M
Apr 21, 2026 to Sep 10, 2026
Succession · false to unset
Apr 21, 2026 to Sep 10, 2026
Advisory employees · 3 to 4
Jun 25, 2025 to Mar 30, 2026
Assets in custody · $156M to $188M
Jun 25, 2025 to Mar 30, 2026
Employees · 5 to 6
Jun 25, 2025 to Mar 30, 2026
Discretionary RAUM · $156M to $188M
Jun 25, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $156M to $188M
Jun 25, 2025 to Mar 30, 2026
RAUM · $156M to $188M
Jun 25, 2025 to Mar 30, 2026

Signals

2 dated events

••• Locked
Jun 25, 2025 · ria registration change · fact
••• Locked
Jun 25, 2025 · First SEC registration · derived

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, Sep 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 10, 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, RAUM change, 1 year.