DFX Intelligence
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A•• A•••• M••••••••• L••
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $47.6M 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
- $47.6M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- 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
custody of client assets (Item 9.A): no on the filing of 2026-05-15, yes on the filing of 2026-06-15
custody of client assets (Item 9.A) 1- Contact points 2
Every filed figure, and the identifiersCRD 335177 · SEC 801-132303 · 7 filingsShowHide
CRD 335177SEC 801-132303First filing on the tape May 23, 2025, latest Jun 15, 2026SEC status approved since May 29, 2025IAPD
RAUM
$47.6M
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
n/a
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$47.6M as of Jun 15, 2026
May 23, 2025$30.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 15, 2026
May 23, 20250 then
Employees (5.A)15 as of Jun 15, 2026
May 23, 20253 then
Private funds5 as of Jun 15, 2026
May 23, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
- 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
- $9.5MderivedRAUM 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
- unknownderived2 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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.1M, 5 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$47.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• O••••••• F••• S••••••••• 3• S••••••••• P•••••••• | Hedge Fund | $20.8M | 46 | Mar 29, 2024 |
| A•• O••••••• B••••••• B••••• I• S•• • A••••• A••••••••• F•••• I••••• S• | Hedge Fund | $12.6M | 2 | Jun 15, 2026 |
| A•• O••••••• B••••••• B••••• I• S•• • A••••• A••••••••• E••••••• S• | Hedge Fund | $9.3M | 2 | Jun 15, 2026 |
| A•• O••••••• B••••••• B••••• I• S•• • A••••• A••••••••• H•••• F••• Q•••••••• S• | Hedge Fund | $3.1M | 1 | Jun 15, 2026 |
| A•• O••••••• A•••• M••••••••• I• S•• A•• S•••• T••• B•••• D•••• S• | Hedge Fund | $1.8M | 1 | Jun 15, 2026 |
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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
- custody status changedChange between filings · filing Jun 15, 2026custody of client assets (Item 9.A): no on the filing of 2026-05-15, yes on the filing of 2026-06-15peers: asset managers, under $100M (329)
What changed
consecutive filings, newest first
- Advisory employees · 8 to 9May 15, 2026 to Jun 15, 2026
- Assets in custody · $0 to $1.1MMay 15, 2026 to Jun 15, 2026
- Custody of client assets · false to trueMay 15, 2026 to Jun 15, 2026
- Employees · 12 to 15May 15, 2026 to Jun 15, 2026
- Accounts · 6 to 5Jan 29, 2026 to Mar 31, 2026
- Pooled vehicle clients · 6 to 5Jan 29, 2026 to Mar 31, 2026
- Employees · 11 to 12Jan 29, 2026 to Mar 31, 2026
- Private funds · 6 to 5Jan 29, 2026 to Mar 31, 2026
- Discretionary RAUM · $41.7M to $47.6MJan 29, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $41.7M to $47.6MJan 29, 2026 to Mar 31, 2026
- RAUM · $41.7M to $47.6MJan 29, 2026 to Mar 31, 2026
- Discretionary RAUM · $32.5M to $41.7MOct 6, 2025 to Jan 29, 2026
- Pooled vehicle RAUM · $32.5M to $41.7MOct 6, 2025 to Jan 29, 2026
- RAUM · $32.5M to $41.7MOct 6, 2025 to Jan 29, 2026
- Accounts · 4 to 6Oct 6, 2025 to Jan 29, 2026
- Advisory employees · 6 to 8Oct 6, 2025 to Jan 29, 2026
- Pooled vehicle clients · 4 to 6Oct 6, 2025 to Jan 29, 2026
- Assets in custody · unset to 0.0Oct 6, 2025 to Jan 29, 2026
- Employees · 10 to 11Oct 6, 2025 to Jan 29, 2026
- Other offices · 0 to 1Oct 6, 2025 to Jan 29, 2026
- Private funds · 4 to 6Oct 6, 2025 to Jan 29, 2026
- Financial planning clients · 0 to 0Jul 30, 2025 to Oct 6, 2025
- Accounts · 2 to 4May 23, 2025 to Jul 30, 2025
- Advisory employees · 1 to 6May 23, 2025 to Jul 30, 2025
- Advisory activities · 1 to 2May 23, 2025 to Jul 30, 2025
- Pooled vehicle clients · 2 to 4May 23, 2025 to Jul 30, 2025
- Employees · 3 to 10May 23, 2025 to Jul 30, 2025
- Private funds · 2 to 4May 23, 2025 to Jul 30, 2025
- Discretionary RAUM · $30.9M to $32.5MMay 23, 2025 to Jul 30, 2025
- Pooled vehicle RAUM · $30.9M to $32.5MMay 23, 2025 to Jul 30, 2025
- RAUM · $30.9M to $32.5MMay 23, 2025 to Jul 30, 2025
Signals
4 dated events
- ••• LockedJun 15, 2026 · private fund first reported · fact
- ••• LockedJun 15, 2026 · private fund first reported · fact
- ••• LockedJun 15, 2026 · private fund first reported · fact
- ••• LockedJun 15, 2026 · private fund first reported · 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, Jun 15, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 15, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026