DFX Intelligence

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A•••• C•••••• M••••••••• 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 $49.1M of regulatory assets.

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

As of 2026-08-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $49.1M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-08-20 · 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 337916 · SEC 801-135881 · 4 filingsShow

CRD 337916SEC 801-135881First filing on the tape Oct 6, 2025, latest Aug 20, 2026SEC status approved since Apr 22, 2026IAPD

RAUM

$49.1M

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

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 Oct 6, 2025

Peer group: Asset managers, under $100M, 329 firms

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

RAUM$49.1M as of Aug 20, 2026

Oct 6, 2025$0 then

HNW client RAUM: no history

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

Oct 6, 20250 then

Employees (5.A)6 as of Aug 20, 2026

Oct 6, 20256 then

Private funds1 as of Aug 20, 2026

Mar 18, 20261 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Aug 20, 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: $12.3MderivedRAUM 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: 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: yesreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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)
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$49.1M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, 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
A•••• C•••••• M••••• L•	Hedge Fund	$49.1M	16	Aug 20, 2026

Owners and control persons

Schedule A and B, latest filing

E•••••• A••••••••• M• · Managing Partnercontrol
since 06/2024 · owns 75% or more
S••••••• R•••• A••• · Chief Compliance Officer / Chief Financial Officer / Chief Operating Officercontrol
since 08/2026 · owns less than 5%

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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

affiliate changedChange between filings · filing Aug 20, 2026
bank affiliate (Item 7.A.6): no on the filing of 2026-06-22, yes on the filing of 2026-08-20
peers: asset managers, under $100M (329)

How anomalies are measured

What changed

consecutive filings, newest first

Discretionary RAUM · $13.0M to $49.1M
Jun 22, 2026 to Aug 20, 2026
Pooled vehicle RAUM · $13.0M to $49.1M
Jun 22, 2026 to Aug 20, 2026
RAUM · $13.0M to $49.1M
Jun 22, 2026 to Aug 20, 2026
Related bank · false to true
Jun 22, 2026 to Aug 20, 2026
Accounts · 0 to 4
Oct 6, 2025 to Mar 18, 2026

Full history · 12 changes

Pooled vehicle clients · unset to 4.0
Oct 6, 2025 to Mar 18, 2026
Assets in custody · unset to 0.0
Oct 6, 2025 to Mar 18, 2026
Custody of client assets · false to true
Oct 6, 2025 to Mar 18, 2026
Private funds · unset to 1
Oct 6, 2025 to Mar 18, 2026
Discretionary RAUM · $0 to $13.0M
Oct 6, 2025 to Mar 18, 2026
Pooled vehicle RAUM · $0 to $13.0M
Oct 6, 2025 to Mar 18, 2026
RAUM · $0 to $13.0M
Oct 6, 2025 to Mar 18, 2026

Signals

3 dated events

••• Locked
Aug 20, 2026 · private fund first reported · fact
••• Locked
Apr 1, 2026 · Left the SEC roster · derived
••• Locked
Oct 6, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Aug 20, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 20, 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.