DFX Intelligence
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A••••• M••••••••• 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 $481M 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
- $481M
- 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
- portfolio management for pooled vehicles (Item 5.G.4) 1
- Contact points 1
Every filed figure, and the identifiersCRD 338348 · SEC 801-134614 · 2 filingsShowHide
CRD 338348SEC 801-134614Legal name A••••• P••••••• L••First filing on the tape Dec 11, 2025, latest Mar 11, 2026SEC status approved since Dec 15, 2025IAPD
RAUM
$481M
reported, Item 5.F
Discretionary
0.0%
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
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$481M as of Mar 11, 2026
Dec 11, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Dec 11, 20250 then
Employees (5.A)7 as of Mar 11, 2026
Dec 11, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 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
- $481MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$481M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• B••••• S••••• · Chief Compliance Officer, Co- Presidentcontrolsince 06/2025 · owns less than 5%
- K••••••••• M••••••• N•• · Co-Presidentcontrolsince 06/2025 · owns less than 5%
Entity owners
- L••••••• C•••••• L•• · Memberdirect · owns 50% to 75%
- S•••••• G••• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 11, 2026discretionary share of RAUM of 0% against a peer median of 100% (1568 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,568) · 0.0% percentile
- business activity changedChange between filings · filing Mar 11, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-12-11, yes on the filing of 2026-03-11peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 0 to 1Dec 11, 2025 to Mar 11, 2026
- Advisory employees · 2 to 7Dec 11, 2025 to Mar 11, 2026
- BD registered reps · 1 to 0Dec 11, 2025 to Mar 11, 2026
- Employees · 2 to 7Dec 11, 2025 to Mar 11, 2026
- Other offices · 0 to 1Dec 11, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $0 to $481MDec 11, 2025 to Mar 11, 2026
- RAUM · $0 to $481MDec 11, 2025 to Mar 11, 2026
Signals
No event on the tape.
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, Mar 11, 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