DFX Intelligence
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D••••••• I• L••
Asset manager (funds and pooled vehicles)SEC-registered· New York, New York
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $273M 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
- $273M
- Advisors
- 0
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 334275 · SEC 801-136977 · 2 filingsShowHide
CRD 334275SEC 801-136977First filing on the tape Jun 30, 2026, latest Sep 16, 2026SEC status approved since Aug 11, 2026IAPD
RAUM
$273M
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
Not computed
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$273M as of Sep 16, 2026
Jun 30, 2026$302M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 16, 2026
Jun 30, 20261 then
Employees (5.A)3 as of Sep 16, 2026
Jun 30, 20263 then
Private funds: 21
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 rulesShowHide
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $273MderivedRAUM 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
- $12.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$273M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 22reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Advisors registered through the firm
0 on IAPD today; the 10 longest tenured
No representative is registered through this CRD on IAPD.
Private funds
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• M••••• S••• L•• S••••• V• X•• | Other Private Fund | $33.1M | 74 | Jun 30, 2026 |
| D••••••• M••••• S•• L•• S••••• V•• C••••••• | Other Private Fund | $31.4M | 41 | Jun 30, 2026 |
| D••••••• M••••• S•• L•• S••••• X• S••••• | Other Private Fund | $30.7M | 35 | Jun 30, 2026 |
| D••••••• M••••• S••• L•• S••••• V• S••••• | Other Private Fund | $28.7M | 52 | Jun 30, 2026 |
| D••••••• M••••• S•• L•• S••••• I• S••••• | Other Private Fund | $27.7M | 54 | Jun 30, 2026 |
All 21 private fundsShow fewerlargest gross assets first
Owners and control persons
Schedule A and B, latest filing
- M••••••• J•••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- N•••••• E••• · Presidentcontrolsince 09/2024 · owns less than 5%
- W•••• K•••• M•••••• · Managercontrolsince 04/2016 · owns less than 5%
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 · 21 to 22Jun 30, 2026 to Sep 16, 2026
- Pooled vehicle clients · 21 to 22Jun 30, 2026 to Sep 16, 2026
- Financial planning clients · to unsetJun 30, 2026 to Sep 16, 2026
- Private funds · 21 to unsetJun 30, 2026 to Sep 16, 2026
- Discretionary RAUM · $302M to $273MJun 30, 2026 to Sep 16, 2026
Full history · 8 changesShow fewer
- Pooled vehicle RAUM · $302M to $273MJun 30, 2026 to Sep 16, 2026
- RAUM · $302M to $273MJun 30, 2026 to Sep 16, 2026
- Succession · false to unsetJun 30, 2026 to Sep 16, 2026
Signals
22 dated events
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
Full timeline · 22 eventsShow fewer
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · private fund first reported · fact
- ••• LockedJun 30, 2026 · Owner of a newly registered adviser · fact
Across DFX
shared identifiers only, never a name match
- D••••••• I• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 16, 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
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Not yet on record: net advisor flow, 12 months, RAUM change, last fiscal year.