DFX Intelligence

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R•••••••• A•••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $881M of regulatory assets.

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

As of 2026-07-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $881M
Advisors: 0
RAUM change, 1 year: -35%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-07-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

2 changes
ownership and control
1 control person joined and 1 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 →
-35.3%
RAUM, one year
RAUM $1.36B to $881M (-35.3%) on the Form ADV filed 10 Jul 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 332346 · SEC 801-131038 · 5 filingsShow

CRD 332346SEC 801-131038First filing on the tape Aug 2, 2024, latest Jul 10, 2026SEC status approved since Sep 4, 2024IAPD

RAUM

$881M

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

45 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM -35% over the last fiscal year · the tape starts Aug 2, 2024

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

RAUM$881M as of Jul 10, 2026

Mar 31, 2025$1.4B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 10, 2026

Mar 31, 20250 then

Employees (5.A)95 as of Jul 10, 2026

Mar 31, 2025105 then

Private funds1 as of Jul 10, 2026

Mar 31, 20251 then

RAUM -35% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Jul 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: $147MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -35%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 fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $881M, 6 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)
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

100% pooled investment vehicles

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

Pooled investment vehicles$881M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $881M for 6 clientsreported
Compensation: % of AUM, fixed, 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
R•••••••• A•••••••• M••••• F••• L•	Hedge Fund	$881M	3	Aug 2, 2024

Owners and control persons

Schedule A and B, latest filing

K•••••• K••••• M•••••• · President & Chief Executive Officercontrol
since 10/2016 · owns 75% or more
P••••••• J••• · Chief Compliance Officercontrol
since 10/2024 · owns less than 5%

Entity owners

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

Related persons

Schedule D 7.A

B••••••• C••••••••• F••••• S••
pooled vehicle sponsory
B••••••• C••••••••• L•• •••
bankpooled vehicle sponsory
B••••••• C••••••••• S••••••••• G•••
pooled vehicle sponsory
P•••• C•••••• L•• •••
pooled vehicle sponsory
R•••••••• A•••••••• G•••••• G•••
pooled vehicle sponsory

All 8 related persons

R•••••••• A•••••••• P•• L••
pooled vehicle sponsory
R•••••••• A•••••••• U• L••
pooled vehicle sponsory
R•••••••• N••••• E••••• A•
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Mar 31, 2026
RAUM (Item 5.F) moved from $1,360,773,892 to $880,614,444 (-35.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (671 comparable advisers, 4.0th percentile of changes)
peers: asset managers, $500M to $1B (671) · 4.3% percentile

How anomalies are measured

What changed

consecutive filings, newest first

HQ city · HOUSTON to NEW YORK
Mar 31, 2026 to Jul 10, 2026
HQ state · TX to NY
Mar 31, 2026 to Jul 10, 2026
Other offices · 2 to 1
Mar 31, 2026 to Jul 10, 2026
Advisory employees · 54 to 45
Mar 31, 2025 to Mar 31, 2026
Assets in custody · $1.4B to $881M
Mar 31, 2025 to Mar 31, 2026

Full history · 21 changes

Employees · 105 to 95
Mar 31, 2025 to Mar 31, 2026
Other offices · 1 to 2
Mar 31, 2025 to Mar 31, 2026
Discretionary RAUM · $1.4B to $881M
Mar 31, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $1.4B to $881M
Mar 31, 2025 to Mar 31, 2026
RAUM · $1.4B to $881M
Mar 31, 2025 to Mar 31, 2026
Accounts · 3 to 6
Oct 3, 2024 to Mar 31, 2025
Advisory employees · 45 to 54
Oct 3, 2024 to Mar 31, 2025
Pooled vehicle clients · 3 to 6
Oct 3, 2024 to Mar 31, 2025
Assets in custody · $754M to $1.4B
Oct 3, 2024 to Mar 31, 2025
Financial planning clients · unset to
Oct 3, 2024 to Mar 31, 2025
HQ city · NEW YORK to HOUSTON
Oct 3, 2024 to Mar 31, 2025
HQ state · NY to TX
Oct 3, 2024 to Mar 31, 2025
Other offices · 0 to 1
Oct 3, 2024 to Mar 31, 2025
Discretionary RAUM · $754M to $1.4B
Oct 3, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $754M to $1.4B
Oct 3, 2024 to Mar 31, 2025
RAUM · $754M to $1.4B
Oct 3, 2024 to Mar 31, 2025

Signals

12 dated events

••• Locked
Jul 10, 2026 · Control person joined · fact
••• Locked
Jul 10, 2026 · ria hq relocated · fact
••• Locked
Jul 10, 2026 · ria principal change · derived
••• Locked
Jul 10, 2026 · ria principal change · fact
••• Locked
Jul 10, 2026 · ria office opened · fact

Full timeline · 12 events

••• Locked
Jul 10, 2026 · Control person left · inference
••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Mar 31, 2025 · RAUM change · derived
••• Locked
Mar 31, 2025 · ria hq relocated · fact
••• Locked
Oct 3, 2024 · Control person left · inference
••• Locked
Oct 3, 2024 · Control person joined · fact
••• Locked
Aug 2, 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, Jul 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 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.