DFX Intelligence

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H•••••••• 1••• C•••••• M••••••••• L••

Other adviserSEC-registered1 private funds· New York, New Yorkwebsite

Other adviser, based in New York, New York, reporting $4.6B of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $4.6B
Advisors: 0
RAUM change, 1 year: +52%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

5 changes
ownership and control
3 control persons 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 →
+52.2%
RAUM, one year
RAUM $3.02B to $4.6B (+52.2%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 332278 · SEC 801-131129 · 6 filingsShow

CRD 332278SEC 801-131129First filing on the tape Aug 16, 2024, latest Mar 31, 2026SEC status approved since Sep 17, 2024IAPD

RAUM

$4.6B

reported, Item 5.F

Discretionary

18%

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

6 filings and snapshots on the tape

RAUM +52% over the last fiscal year · the tape starts Aug 16, 2024

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

RAUM$4.6B as of Mar 31, 2026

Jan 14, 2025$4.2B then

HNW client RAUM$0 as of Mar 31, 2026

Jan 14, 2025$0 then

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

Jan 14, 20250 then

Employees (5.A)5 as of Mar 31, 2026

Jan 14, 20253 then

Private funds1 as of Mar 31, 2026

Jan 14, 20251 then

RAUM +52% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: $384MderivedRAUM over accounts (5.F.2.f)
Discretionary: 18%derivedof RAUM
Institutional: 11%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: +52%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, fixed feesreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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

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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

63% banks and thrifts, 18% pooled investment vehicles, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

Banks and thrifts$2.9B63%
Pooled investment vehicles$845M18%
Insurance companies$502M11%
Corporations and businesses$371M8.1%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 12reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 0% private clients, 18% pooled funds, 11% institutions; a 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
L•••••• C•• I• D••••••••• A••••••• C••••••	Securitized Asset Fund	$845M	2	Jul 26, 2024

Owners and control persons

Schedule A and B, latest filing

D•••••• S••••••••• A••••• · Vice Presidentcontrol
since 05/2024 · owns less than 5%
F••••••• J••••• · Chief Executive Officercontrol
since 07/2024 · owns less than 5%
R••••••• C••••••••• W•••••• · Chief Financial Officercontrol
since 05/2024 · owns less than 5%
S••••••• J•••• M••••• · Chief Compliance Officercontrol
since 07/2024 · owns less than 5%

Entity owners

S• A••••••• S••••••••• H•••••••• L•• · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

S• A••••••• S••••••••• L••
broker-dealertrust companyn
S•••••• G••••••• S•••
broker-dealerCPO or CTAy

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 13 to 12
Jul 2, 2025 to Mar 31, 2026
Advisory employees · 3 to 4
Jul 2, 2025 to Mar 31, 2026
Employees · 3 to 5
Jul 2, 2025 to Mar 31, 2026
Discretionary RAUM · $561M to $845M
Jul 2, 2025 to Mar 31, 2026
Non-discretionary RAUM · $2.5B to $3.8B
Jul 2, 2025 to Mar 31, 2026

Full history · 24 changes

Pooled vehicle RAUM · $561M to $845M
Jul 2, 2025 to Mar 31, 2026
RAUM · $3.0B to $4.6B
Jul 2, 2025 to Mar 31, 2026
Financial planning clients · 0 to 0
Apr 9, 2025 to Jul 2, 2025
Discretionary RAUM · $564M to $561M
Jan 14, 2025 to Apr 9, 2025
Non-discretionary RAUM · $3.7B to $2.5B
Jan 14, 2025 to Apr 9, 2025
Pooled vehicle RAUM · $564M to $561M
Jan 14, 2025 to Apr 9, 2025
RAUM · $4.2B to $3.0B
Jan 14, 2025 to Apr 9, 2025
Accounts · 0 to 13
Aug 23, 2024 to Jan 14, 2025
Advisory employees · 1 to 3
Aug 23, 2024 to Jan 14, 2025
Corporate clients · 0 to 1
Aug 23, 2024 to Jan 14, 2025
Pooled vehicle clients · 0 to 1
Aug 23, 2024 to Jan 14, 2025
Employees · 2 to 3
Aug 23, 2024 to Jan 14, 2025
Private funds · unset to 1
Aug 23, 2024 to Jan 14, 2025
Discretionary RAUM · $0 to $564M
Aug 23, 2024 to Jan 14, 2025
Non-discretionary RAUM · $0 to $3.7B
Aug 23, 2024 to Jan 14, 2025
Pooled vehicle RAUM · $0 to $564M
Aug 23, 2024 to Jan 14, 2025
RAUM · $0 to $4.2B
Aug 23, 2024 to Jan 14, 2025
Business name · H••••••••• C•••••• M••••••••• L•• to H•••••••• 1••• C•••••• M••••••••• L••
Aug 16, 2024 to Aug 23, 2024
Legal name · H••••••••• C•••••• M••••••••• L•• to H•••••••• 1••• C•••••• M••••••••• L••
Aug 16, 2024 to Aug 23, 2024

Signals

13 dated events

••• Locked
Mar 31, 2026 · Control person joined · fact
••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Mar 31, 2026 · Control person joined · fact
••• Locked
Mar 31, 2026 · Control person left · inference
••• Locked
Mar 31, 2026 · ria indirect owner change · fact

Full timeline · 13 events

••• Locked
Mar 31, 2026 · ria principal change · derived
••• Locked
Mar 31, 2026 · ria principal change · fact
••• Locked
Mar 31, 2026 · ria principal change · fact
••• Locked
Mar 31, 2026 · ria principal change · derived
••• Locked
Mar 31, 2026 · Control person left · inference
••• Locked
Mar 31, 2026 · Control person joined · fact
••• Locked
Apr 9, 2025 · RAUM change · derived
••• Locked
Aug 16, 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, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 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: Other adviserderiveda 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.