DFX Intelligence

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R••••••• T•••• A•••• M••••••••• L•••••

No RAUM reportedSEC-registered· New York, New Yorkwebsite

No RAUM reported, based in New York, New York.

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

As of 2026-05-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 0

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-05-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

New owner
ownership and control
K••• S••••• C•••••• appeared on Schedule A as an owner on 14 May 2026.
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 342499 · SEC 801-136409 · 1 filingShow

CRD 342499SEC 801-136409First filing on the tape May 14, 2026, latest May 14, 2026SEC status approved since May 29, 2026IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

247

99 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

1 filing and snapshots on the tape

Filed figures over time · the tape starts May 14, 2026

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

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

RAUM: $0

HNW client RAUM: no history

State-registered IARs (5.B.3): 0

Employees (5.A): 247

Private funds: no history

Practice profile

derived from the filing of May 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived4 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 assetsreportedItem 5.E
Advisory activities: otherreportedItem 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 0% 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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••• B••••• J••••• · M••••••• M••••• O• K••• S••••• C•••••• M••••••••• G•• L•••••• T•• G•••••• P•••••• O• K••• S••••• C•••••• M••••••••• L•••control
since 01/2009 · owns less than 5%
M•••••• R••••••• N•• · Chief Compliance Officer & Counselcontrol
since 04/2026 · owns less than 5%

Entity owners

K••• S••••• C•••••• · Direct Owner
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

1 dated events

••• Locked
May 14, 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.

Web presence

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

Website (2), LinkedIn company page (1), LinkedIn (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, May 14, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 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: No RAUM reportedderiveda 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: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.