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

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $553M of regulatory assets.

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

Regulatory AUM
$553M
Form ADV
Advisors
0
IAPD
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · 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 335168 · SEC 801-132287 · 4 filingsShow
CRD 335168SEC 801-132287First filing on the tape Feb 27, 2025, latest Mar 30, 2026SEC status approved since Mar 31, 2025IAPD
RAUM
$553M
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
9
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 27, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$553M as of Mar 30, 2026
Feb 27, 2025$0 then
HNW client RAUM$0 as of Mar 30, 2026
Feb 27, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Feb 27, 20250 then
Employees (5.A)9 as of Mar 30, 2026
Feb 27, 20256 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 1 to 3
Practice profile
derived from the filing of Mar 30, 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
$111MderivedRAUM 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
unknownderived4 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$553M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 0% private clients, 100% 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 departureEvery 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• P•••••• M••• · Managing Member, Chief Investment Officer, And Chief Executive Officercontrol
        since 08/2024 · owns 50% to 75%
      • Y••••• J••••• A••••• · Chief Compliance Officer And Membercontrol
        since 02/2025 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity changedChange between filings · filing Mar 30, 2026
        advises private funds (Item 7.B): no on the filing of 2025-11-17, yes on the filing of 2026-03-30
        peers: asset managers, $500M to $1B (784)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Nov 17, 2025 to Mar 30, 2026
      • Pooled vehicle clients · 0 to 5
        Nov 17, 2025 to Mar 30, 2026
      • Employees · 8 to 9
        Nov 17, 2025 to Mar 30, 2026
      • Other offices · 2 to 3
        Nov 17, 2025 to Mar 30, 2026
      • Discretionary RAUM · $518M to $553M
        Nov 17, 2025 to Mar 30, 2026
      Full history · 19 changes
      • Pooled vehicle RAUM · $0 to $553M
        Nov 17, 2025 to Mar 30, 2026
      • RAUM · $518M to $553M
        Nov 17, 2025 to Mar 30, 2026
      • HQ city · STAMFORD to NEW YORK
        Jul 28, 2025 to Nov 17, 2025
      • HQ state · CT to NY
        Jul 28, 2025 to Nov 17, 2025
      • Other offices · 3 to 2
        Jul 28, 2025 to Nov 17, 2025
      • Discretionary RAUM · $314M to $518M
        Jul 28, 2025 to Nov 17, 2025
      • RAUM · $314M to $518M
        Jul 28, 2025 to Nov 17, 2025
      • Accounts · 0 to 4
        Feb 27, 2025 to Jul 28, 2025
      • Advisory employees · 4 to 7
        Feb 27, 2025 to Jul 28, 2025
      • Employees · 6 to 8
        Feb 27, 2025 to Jul 28, 2025
      • Financial planning clients · unset to
        Feb 27, 2025 to Jul 28, 2025
      • Other offices · 1 to 3
        Feb 27, 2025 to Jul 28, 2025
      • Discretionary RAUM · $0 to $314M
        Feb 27, 2025 to Jul 28, 2025
      • RAUM · $0 to $314M
        Feb 27, 2025 to Jul 28, 2025
      Signals
      3 dated events
      • ••• Locked
        Nov 17, 2025 · RAUM change · derived
      • ••• Locked
        Nov 17, 2025 · ria hq relocated · fact
      • ••• Locked
        Feb 27, 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
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 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.