DFX Intelligence

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2• C•••••• P••••••• 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 $180M of regulatory assets.

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

As of 2026-09-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $180M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 334821 · SEC 801-132380 · 4 filingsShow

CRD 334821SEC 801-132380First filing on the tape Mar 11, 2025, latest Sep 4, 2026SEC status approved since Apr 10, 2025IAPD

RAUM

$180M

reported, Item 5.F

Discretionary

72%

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

4 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 11, 2025

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

RAUM$180M as of Mar 20, 2026

Mar 11, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 20, 2026

Mar 11, 20250 then

Employees (5.A)5 as of Mar 20, 2026

Mar 11, 20255 then

Private funds1 as of Mar 20, 2026

Aug 7, 20251 then

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Sep 4, 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: $45.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 72%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: unknownderivedbetween 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: $130M, 3 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.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$130M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $130M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 72% pooled funds, 0% institutions; no 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
2• S••••• C••••• M••••• F•••• L•	Hedge Fund	$130M	15	Sep 4, 2026

Owners and control persons

Schedule A and B, latest filing

A•••••••• O••••• K••••• · Chief Operating Officer And Chief Compliance Officercontrol
since 04/2024 · owns less than 5%
D•••• V•••••• V• · Chief Investment Officer And Limited Partnercontrol
since 04/2024 · 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

Financial planning clients · to unset
Mar 20, 2026 to Sep 4, 2026
Private funds · 1 to unset
Mar 20, 2026 to Sep 4, 2026
Succession · false to unset
Mar 20, 2026 to Sep 4, 2026
Accounts · 3 to 4
Aug 7, 2025 to Mar 20, 2026
Assets in custody · $102M to $130M
Aug 7, 2025 to Mar 20, 2026

Full history · 20 changes

Employees · 6 to 5
Aug 7, 2025 to Mar 20, 2026
Discretionary RAUM · $102M to $130M
Aug 7, 2025 to Mar 20, 2026
Non-discretionary RAUM · $0 to $50.0M
Aug 7, 2025 to Mar 20, 2026
Pooled vehicle RAUM · $102M to $130M
Aug 7, 2025 to Mar 20, 2026
RAUM · $102M to $180M
Aug 7, 2025 to Mar 20, 2026
Accounts · 0 to 3
Mar 11, 2025 to Aug 7, 2025
Advisory employees · 3 to 4
Mar 11, 2025 to Aug 7, 2025
Pooled vehicle clients · unset to 3.0
Mar 11, 2025 to Aug 7, 2025
Assets in custody · unset to 102000000.0
Mar 11, 2025 to Aug 7, 2025
Custody of client assets · false to true
Mar 11, 2025 to Aug 7, 2025
Employees · 5 to 6
Mar 11, 2025 to Aug 7, 2025
Private funds · unset to 1
Mar 11, 2025 to Aug 7, 2025
Discretionary RAUM · $0 to $102M
Mar 11, 2025 to Aug 7, 2025
Pooled vehicle RAUM · unset to 102000000.0
Mar 11, 2025 to Aug 7, 2025
RAUM · $0 to $102M
Mar 11, 2025 to Aug 7, 2025

Signals

2 dated events

••• Locked
Sep 4, 2026 · private fund first reported · fact
••• Locked
Mar 11, 2025 · First SEC registration · derived

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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 4, 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, RAUM change, 1 year.