DFX Intelligence

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I•••••• P••••••• M••••••• L•

Other adviserSEC-registered1 private funds· Sleepy Hollow, New Yorkwebsite

Other adviser, based in Sleepy Hollow, New York, reporting $85.0M of regulatory assets.

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

As of 2026-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $85.0M
Advisors: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 16 Mar 2026, I•••••• P••••••• M•••••• G• appeared on Schedule A as an owner on 16 Mar 2026.

Every filed figure, and the identifiersCRD 339892 · SEC 801-135185 · 2 filingsShow

CRD 339892SEC 801-135185First filing on the tape Jan 16, 2026, latest Mar 16, 2026SEC status approved since Jan 16, 2026IAPD

RAUM

$85.0M

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

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

Filed figures over time · the tape starts Jan 16, 2026

Peer group: Other advisers, under $100M, 660 firms

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

RAUM$85.0M as of Mar 16, 2026

Jan 16, 2026$85.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 16, 2026

Jan 16, 20260 then

Employees (5.A)1 as of Mar 16, 2026

Jan 16, 20261 then

Private funds1 as of Mar 16, 2026

Jan 16, 20261 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 16, 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: $42.5MderivedRAUM 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: 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 assetsreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $50.0M, 1 clientreportedItem 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)

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$35.0M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $50.0M for 1 clientreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 41% 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

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

Fund	Type	Gross assets	Owners	First reported
I•••••• P••••••• G•• L•	Private Equity Fund	$35.0M	10	Mar 16, 2026

Owners and control persons

Schedule A and B, latest filing

Entity owners

I•••••• P••••••• M•••••• G• · General Partner
direct · owns 75% or more

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.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

2 dated events

••• Locked
Mar 16, 2026 · private fund first reported · fact
••• Locked
Jan 16, 2026 · First SEC registration · derived

Across DFX

shared identifiers only, never a name match

I•••••• P••••••• M••••••• L• · Independent Sponsors
same CRD · capital provider
I•••••• P••••••• M••••••• L• · Private Equity
same CRD · organization

Web presence

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

Website (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 16, 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: Other adviserderiveda 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

Across the graphs

I•••••• P••••••• M••••••• L• is the same institution as 2 records in Independent Sponsors and Private Equity.

Independent Sponsors1Private Equity1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.