DFX Intelligence

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A••• 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 $2.3B of regulatory assets.

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

As of 2026-09-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $2.3B
Advisors: 0
RAUM change, 1 year: +68%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

3 changes
ownership and control
1 control person 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 →
+67.9%
RAUM, one year
RAUM $1.4B to $2.34B (+67.9%) on the Form ADV filed 22 Sep 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 331428 · SEC 801-131230 · 7 filingsShow

CRD 331428SEC 801-131230First filing on the tape Aug 30, 2024, latest Sep 22, 2026SEC status approved since Oct 2, 2024IAPD

RAUM

$2.3B

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

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM +68% over the last fiscal year · the tape starts Aug 30, 2024

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

RAUM$2.3B as of Mar 27, 2026

Mar 28, 2025$1.4B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 28, 20250 then

Employees (5.A)22 as of Mar 27, 2026

Mar 28, 202520 then

Private funds3 as of Mar 27, 2026

Mar 28, 20252 then

RAUM +68% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Sep 22, 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: $234MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +68%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 pooled vehiclesreportedItem 5.G
Custody: $435M, 4 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

92% pooled investment vehicles, 8.2% pension and profit-sharing plans

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

Pooled investment vehicles$2.1B92%
Pension and profit-sharing plans$193M8.2%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 10reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $435M for 4 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 92% pooled funds, 8% 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

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

Fund	Type	Gross assets	Owners	First reported
A••• M•••• S••••••• O••••••••• O•••••• F••• L•	Hedge Fund	$890M	74	Aug 30, 2024
A••• W•• C••••• L•••	Hedge Fund	$201M	6	Sep 1, 2026
A••• M•••• S••••••• M••••• F••• I• L•	Hedge Fund	$106M	2	Aug 30, 2024

Owners and control persons

Schedule A and B, latest filing

G•••••• P••••••••• M••••• · Limited Partnercontrol
since 11/2021 · owns 50% to 75%
K••••• S••••••• E••••• · Chief Operating Officercontrol
since 06/2021 · owns 10% to 25%
K••••••••• S•••• · Limited Partnercontrol
since 11/2021 · owns 25% to 50%
S•••••••• R••••••• H• · Chief Financial Officercontrol
since 02/2023 · owns less than 5%
S••••••• V•••••••• C•••••• · Chief Compliance Officercontrol
since 09/2024 · owns less than 5%

All 7 control persons

G•••••• P••••••••• M••••• · Membercontrol
since 01/2024 · owns 50% to 75% of A••• M••••••••• G• L••
K••••••••• S•••• · Membercontrol
since 01/2024 · owns 25% to 50% of A••• M••••••••• G• L••

Entity owners

A••• M••••••••• G• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

A••• G• L••
pooled vehicle sponsory
A••• M••••••••• G• L••
y

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

private fund count surgeChange between filings · filing Mar 27, 2026
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was 0.0% (1019 comparable advisers, 93.0th percentile of changes)
peers: asset managers, $1B to $5B (1,019) · 93% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · to unset
Mar 27, 2026 to Sep 1, 2026
HQ city · MIAMI BEACH to NEW YORK
Mar 27, 2026 to Sep 1, 2026
HQ state · FL to NY
Mar 27, 2026 to Sep 1, 2026
Private funds · 3 to unset
Mar 27, 2026 to Sep 1, 2026
Related adviser · false to true
Mar 27, 2026 to Sep 1, 2026

Full history · 22 changes

Succession · false to unset
Mar 27, 2026 to Sep 1, 2026
Accounts · 9 to 10
Mar 28, 2025 to Mar 27, 2026
Advisory employees · 20 to 11
Mar 28, 2025 to Mar 27, 2026
Assets in custody · $160M to $435M
Mar 28, 2025 to Mar 27, 2026
Employees · 20 to 22
Mar 28, 2025 to Mar 27, 2026
Private funds · 2 to 3
Mar 28, 2025 to Mar 27, 2026
Discretionary RAUM · $1.4B to $2.3B
Mar 28, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $1.2B to $2.1B
Mar 28, 2025 to Mar 27, 2026
RAUM · $1.4B to $2.3B
Mar 28, 2025 to Mar 27, 2026
Advisory employees · 9 to 20
Nov 21, 2024 to Mar 28, 2025
Assets in custody · $137M to $160M
Nov 21, 2024 to Mar 28, 2025
Employees · 13 to 20
Nov 21, 2024 to Mar 28, 2025
Financial planning clients · unset to
Nov 21, 2024 to Mar 28, 2025
Discretionary RAUM · $981M to $1.4B
Nov 21, 2024 to Mar 28, 2025
Pension RAUM · $156M to $193M
Nov 21, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $825M to $1.2B
Nov 21, 2024 to Mar 28, 2025
RAUM · $981M to $1.4B
Nov 21, 2024 to Mar 28, 2025

Signals

26 dated events

••• Locked
Sep 1, 2026 · Control person left · inference
••• Locked
Sep 1, 2026 · ria office closed · derived
••• Locked
Sep 1, 2026 · ria office opened · fact
••• Locked
Sep 1, 2026 · Control person left · inference
••• Locked
Sep 1, 2026 · Control person joined · fact

Full timeline · 26 events

••• Locked
Sep 1, 2026 · private fund first reported · fact
••• Locked
Sep 1, 2026 · private fund gav change · fact
••• Locked
Sep 1, 2026 · ria private fund assets change · fact
••• Locked
Sep 1, 2026 · ria hq relocated · fact
••• Locked
Sep 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 1, 2026 · ria indirect owner change · derived
••• Locked
Sep 1, 2026 · ria indirect owner change · derived
••• Locked
Sep 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 1, 2026 · ria indirect owner change · fact
••• Locked
Sep 1, 2026 · ria principal change · fact
••• Locked
Sep 1, 2026 · ria majority owner change · fact
••• Locked
Sep 1, 2026 · ria majority owner change · derived
••• Locked
Sep 1, 2026 · ria ownership band change · fact
••• Locked
Mar 27, 2026 · RAUM change · derived
••• Locked
Mar 28, 2025 · RAUM change · derived
••• Locked
Oct 9, 2024 · Control person joined · fact
••• Locked
Aug 30, 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, Sep 22, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 22, 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

Across the graphs

A••• L• is the same institution as 1 record in Private Credit.

Private Credit1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

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