DFX Intelligence

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A••••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)SEC-registered3 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $298M 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: $298M
Advisors: 0
RAUM change, 1 year: +21%
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

+20.5%
RAUM, one year
RAUM $247M to $298M (+20.5%) 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 332320 · SEC 801-130952 · 5 filingsShow

CRD 332320SEC 801-130952First filing on the tape Jul 19, 2024, latest Mar 31, 2026SEC status approved since Aug 28, 2024IAPD

RAUM

$298M

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

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM +21% over the last fiscal year · the tape starts Jul 19, 2024

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

RAUM$298M as of Mar 31, 2026

Apr 8, 2025$247M then

HNW client RAUM: no history

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

Apr 8, 20250 then

Employees (5.A)7 as of Mar 31, 2026

Apr 8, 20256 then

Private funds3 as of Mar 31, 2026

Apr 8, 20252 then

RAUM +21% 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: $42.5MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +21%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: $298M, 7 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)
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)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$298M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 7reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $298M for 7 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

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

Fund	Type	Gross assets	Owners	First reported
A••••• C•••••• M••••• F•••• L•••	Hedge Fund	$252M	22	Dec 26, 2024
A••••• C•••••• L•••••••• M••••• F•••• L•••	Hedge Fund	$30.6M	7	Dec 26, 2024
A••••• C•••••••• F••• I• L•	Hedge Fund	$15.2M	4	Mar 31, 2026

Owners and control persons

Schedule A and B, latest filing

P•••••• C••••••• G••••• · Head Of Engagement, Principal, Limited Partnercontrol
since 08/2023 · owns 25% to 50%
R••••••• L•••• · Cco, Cfocontrol
since 06/2024 · owns less than 5%
S•••••• A••••••••• J••••••• · Chief Investment Officer, Principal, Limited Partnercontrol
since 08/2023 · owns 25% to 50%
P•••••• C••••••• G••••• · Managing Membercontrol
since 08/2023 · owns 25% to 50% of A••••• C•••••• M••••••••• L••
S•••••• A••••••••• J••••••• · Managing Membercontrol
since 08/2023 · owns 25% to 50% of A••••• C•••••• M••••••••• L••

Entity owners

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

Related persons

Schedule D 7.A

A••••• C•••••• F••• G•• L••
investment adviserbankpooled vehicle sponsorn
A••••• C•••••• L•••••••• G•• L••
investment adviserbankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

private fund count surgeChange between filings · filing Mar 31, 2026
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-04-08 and 2026-03-31; the peer median change was 0.0% (731 comparable advisers, 95.0th percentile of changes)
peers: asset managers, $100M to $500M (731) · 95% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 6 to 7
Apr 8, 2025 to Mar 31, 2026
Pooled vehicle clients · 6 to 7
Apr 8, 2025 to Mar 31, 2026
Assets in custody · $247M to $298M
Apr 8, 2025 to Mar 31, 2026
Employees · 6 to 7
Apr 8, 2025 to Mar 31, 2026
Private funds · 2 to 3
Apr 8, 2025 to Mar 31, 2026

Full history · 28 changes

Discretionary RAUM · $247M to $298M
Apr 8, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $247M to $298M
Apr 8, 2025 to Mar 31, 2026
RAUM · $247M to $298M
Apr 8, 2025 to Mar 31, 2026
Assets in custody · $256M to $247M
Dec 26, 2024 to Apr 8, 2025
Financial planning clients · unset to
Dec 26, 2024 to Apr 8, 2025
Discretionary RAUM · $256M to $247M
Dec 26, 2024 to Apr 8, 2025
Pooled vehicle RAUM · $256M to $247M
Dec 26, 2024 to Apr 8, 2025
RAUM · $256M to $247M
Dec 26, 2024 to Apr 8, 2025
Accounts · unset to 6.0
Aug 21, 2024 to Dec 26, 2024
Advisory employees · 4 to 5
Aug 21, 2024 to Dec 26, 2024
Pooled vehicle clients · 0 to 6
Aug 21, 2024 to Dec 26, 2024
Assets in custody · unset to 256348670.0
Aug 21, 2024 to Dec 26, 2024
Custody of client assets · false to true
Aug 21, 2024 to Dec 26, 2024
Employees · 5 to 6
Aug 21, 2024 to Dec 26, 2024
Private funds · unset to 2
Aug 21, 2024 to Dec 26, 2024
Discretionary RAUM · unset to 256348670.0
Aug 21, 2024 to Dec 26, 2024
Non-discretionary RAUM · unset to 0.0
Aug 21, 2024 to Dec 26, 2024
Pooled vehicle RAUM · $0 to $256M
Aug 21, 2024 to Dec 26, 2024
RAUM · unset to 256348670.0
Aug 21, 2024 to Dec 26, 2024
Related adviser · false to true
Aug 21, 2024 to Dec 26, 2024
Related bank · false to true
Aug 21, 2024 to Dec 26, 2024
HQ city · unset to NEW YORK
Jul 19, 2024 to Aug 21, 2024
HQ state · unset to NY
Jul 19, 2024 to Aug 21, 2024

Signals

5 dated events

••• Locked
Mar 31, 2026 · private fund first reported · fact
••• Locked
Mar 31, 2026 · ria principal change · derived
••• Locked
Mar 31, 2026 · ria principal change · fact
••• Locked
Mar 31, 2026 · Control person left · inference
••• Locked
Jul 19, 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: 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.