DFX Intelligence
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Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New Rochelle, New Yorkwebsite
Asset manager (funds and pooled vehicles), based in New Rochelle, New York, reporting $84.3M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $84.3M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +180%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $30.1MRAUM now $84.3M
- Contact points 2
Every filed figure, and the identifiersCRD 332027 · SEC 801-132310 · 3 filingsShowHide
CRD 332027SEC 801-132310First filing on the tape Mar 28, 2025, latest Aug 28, 2026SEC status approved since Mar 31, 2025IAPD
RAUM
$84.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$84.3M as of Aug 28, 2026
Mar 28, 2025$30.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 28, 20250 then
Employees (5.A)2 as of Aug 28, 2026
Mar 28, 20252 then
Private funds1 as of Aug 28, 2026
Mar 28, 20251 then
RAUM +180% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
- 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
- $28.1MderivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +180%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 vehicles, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$64.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.77 institutional_share=0.0 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• R••• O••••••••• L• | Hedge Fund | $64.7M | 15 | Aug 28, 2026 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• G•••••• · Chief Operating Officer And Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- S•••••••• B••••• J••••• · Chief Executive Officercontrolsince 07/2024 · owns 75% or more
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 · 2 to 3Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 1 to 2Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 2 to 1Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $30.1M to $84.3MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $30.1M to $64.7MMar 28, 2025 to Mar 30, 2026
- RAUM · $30.1M to $84.3MMar 28, 2025 to Mar 30, 2026
Signals
1 dated events
- ••• LockedAug 28, 2026 · private fund first reported · 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, Aug 28, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 28, 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
- Asset manager (funds and pooled vehicles)deriveda 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