DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
G••••••• R•••• C••••••• L•••
Latest filing Jun 1, 2026
First filing on the tape Feb 12, 2026 · 2 filings
SEC status approved since Feb 27, 2026
RAUM
$232M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$232M as of Jun 1, 2026
Feb 12, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 1, 2026
Feb 12, 20260 then
Employees (5.A)7 as of Jun 1, 2026
Feb 12, 20267 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 1, 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
- $38.6MderivedRAUM 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 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 pooled vehiclesreportedItem 5.G
- Custody
- $46.0M, 3 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$232M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.0M for 3 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=true 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
- L•••••• C••••••••• · Founder And Chief Executive Officer And Limited Partnercontrolsince 10/2025 · owns 25% to 50%
- M•••••• C•••••• · Cco / Coo / Cfocontrolsince 10/2025 · owns less than 5%
- S•••••••• A•••••• F•••••••• · Founder And Chief Investment Officer And Limited Partnercontrolsince 10/2025 · owns 25% to 50%
Entity owners
- G••••••• R•••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jun 1, 2026advises private funds (Item 7.B): no on the filing of 2026-02-12, yes on the filing of 2026-06-01peers: asset managers, $100M to $500M (1,568)
- custody status changedChange between filings · filing Jun 1, 2026custody of client assets (Item 9.A): no on the filing of 2026-02-12, yes on the filing of 2026-06-01peers: asset managers, $100M to $500M (1,568)
- affiliate changedChange between filings · filing Jun 1, 2026bank affiliate (Item 7.A.6): no on the filing of 2026-02-12, yes on the filing of 2026-06-01peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 0 to 6Feb 12, 2026 to Jun 1, 2026
- Advisory employees · 5 to 4Feb 12, 2026 to Jun 1, 2026
- Pooled vehicle clients · unset to 6.0Feb 12, 2026 to Jun 1, 2026
- Assets in custody · unset to 46000000.0Feb 12, 2026 to Jun 1, 2026
- Custody of client assets · false to trueFeb 12, 2026 to Jun 1, 2026
- Private funds · unset to 1Feb 12, 2026 to Jun 1, 2026
- Discretionary RAUM · $0 to $232MFeb 12, 2026 to Jun 1, 2026
- Pooled vehicle RAUM · unset to 231800000.0Feb 12, 2026 to Jun 1, 2026
- RAUM · $0 to $232MFeb 12, 2026 to Jun 1, 2026
- Related adviser · false to trueFeb 12, 2026 to Jun 1, 2026
- Related bank · false to trueFeb 12, 2026 to Jun 1, 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
- 732-616-3877reportedpublic record, Form ADV, Jun 1, 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