DFX Intelligence

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M••••••••• L•••

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 $3.1B of regulatory assets.

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

As of 2026-09-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $3.1B
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

New owner
ownership and control
M•••••••• G•• L••••• appeared on Schedule A as an owner on 29 May 2026, with 2 other new entity owners.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →

Every filed figure, and the identifiersCRD 339519 · SEC 801-134953 · 3 filingsShow

CRD 339519SEC 801-134953First filing on the tape Jan 15, 2026, latest Sep 14, 2026SEC status approved since Jan 2, 2026IAPD

RAUM

$3.1B

reported, Item 5.F

Discretionary

78%

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

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

Filed figures over time · the tape starts Jan 15, 2026

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

RAUM$2.2B as of May 29, 2026

Jan 15, 2026$2.2B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 29, 2026

Jan 15, 20260 then

Employees (5.A)12 as of May 29, 2026

Jan 15, 202612 then

Private funds3 as of May 29, 2026

Jan 15, 20262 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Sep 14, 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: $283MderivedRAUM over accounts (5.F.2.f)
Discretionary: 78%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
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)
receives research or other products from a broker-dealer, soft dollars (8.E)
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$3.1B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 11reported
Financial planning clients: n/areported
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 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

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M•••••••• S••••••••• C••••••••• M••••• F••• I• L•••	Hedge Fund	$1.3B	69	Aug 29, 2023
M•••••••• S••••••••• C••••••••• M••••• F••• I•• L•••	Hedge Fund	$571M	51	May 29, 2026
A••• A••••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$237M	6	Nov 27, 2024

Owners and control persons

Schedule A and B, latest filing

S••••••• T••••••• W•••••• · Chief Operating Officercontrol
since 01/2026 · owns less than 5%
S•••••• J••••• M•••••• · Managing Partnercontrol
since 10/2023 · owns less than 5%
Z••••• M••••••• J••••• · Chief Compliance Officercontrol
since 01/2026 · owns less than 5%

Entity owners

M•••••••• G•• L••••• · General Partner
direct · owns less than 5%
M•••••••• M••••••••• C••• L••• · Limited Partner
direct · owns 50% to 75%
A•••••••• C•••••• A•••••••• L••• · Limited Partner
direct · 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

custody status changedChange between filings · filing Sep 14, 2026
custody of client assets (Item 9.A): yes on the filing of 2026-05-29, no on the filing of 2026-09-14
peers: asset managers, $1B to $5B (1,506)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 9 to 11
May 29, 2026 to Sep 14, 2026
Advisory employees · 4 to 5
May 29, 2026 to Sep 14, 2026
Pooled vehicle clients · 9 to 11
May 29, 2026 to Sep 14, 2026
Assets in custody · 0.0 to unset
May 29, 2026 to Sep 14, 2026
Custody of client assets · true to false
May 29, 2026 to Sep 14, 2026

Full history · 14 changes

Employees · 12 to 15
May 29, 2026 to Sep 14, 2026
Financial planning clients · to unset
May 29, 2026 to Sep 14, 2026
Private funds · 3 to unset
May 29, 2026 to Sep 14, 2026
Discretionary RAUM · $1.5B to $2.4B
May 29, 2026 to Sep 14, 2026
Non-discretionary RAUM · $658M to $672M
May 29, 2026 to Sep 14, 2026
Pooled vehicle RAUM · $2.2B to $3.1B
May 29, 2026 to Sep 14, 2026
RAUM · $2.2B to $3.1B
May 29, 2026 to Sep 14, 2026
Succession · false to unset
May 29, 2026 to Sep 14, 2026
Private funds · 2 to 3
Jan 15, 2026 to May 29, 2026

Signals

3 dated events

••• Locked
Sep 14, 2026 · RAUM change · derived
••• Locked
May 29, 2026 · private fund first reported · fact
••• Locked
Jan 15, 2026 · 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, Sep 14, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 14, 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.