Investment adviser · CRD 285057
DFN MANAGEMENT LLC.
TAMPA, FL, United States · Form ADV filed May 1, 2024
- Regulatory AUM
- $155M Form ADV · Item 5.F
- Client accounts
- 2 Accounts, not individual clients
- Employees
- 3 Reported in this filing
- Advisory professionals
- 3 Investment advisory functions
How this adviser has changed
Annual filingsRegulatory assets under management
Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.
| Fiscal year | Regulatory AUM | Employees | Filed |
|---|---|---|---|
| 2021 | Not reported | Not reported | Mar 23, 2022 |
| 2022 | Not reported | Not reported | Mar 28, 2023 |
| 2023 | $155,429,716 | 3 | Mar 28, 2024 |
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 2 | $155,429,716 | 100.0% |
Filing source
Form ADV 1873138 · May 1, 2024 · Item 5.D
Reported by DFN MANAGEMENT LLC. (CRD 285057).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Private funds & service providers
1 selected fund recordsLargest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.
DFN ALPHA ADVANTAGE FUND LPHedge Fund$29.2MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- Yes
- Custodians
- Yes
- Administrator other than the adviser
- Yes
- External marketing
- No
FRAZIER AND DEETER, LLC
PCAOB 215
INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257
Fund details & source
- Fund ID
- 805-4870457535
- Reported beneficial owners
- 36
- Minimum commitment
- $250K
- Form D file number
- 021-256681
Form ADV 1873138 · May 1, 2024 · Schedule D 7.B.(1)
Reported by DFN MANAGEMENT LLC. (CRD 285057).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Services & filing details
Showing values from the selected filing. Latest observed filing does not establish current registration status.
What changed?
Since Mar 28, 2024 · previous imported filing
No comparable changes in the displayed metrics.
Filing source
Form ADV 1873138 · May 1, 2024 · Items 1 & 5
Reported by DFN MANAGEMENT LLC. (CRD 285057).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Management of assets
- Discretionary
- $155M
- Non-discretionary
- $0
Reported services
Pooled investment vehicle management
Compensation
Percentage of assets · Performance-based
Principal office
707 N. FRANKLIN STREET, UNIT 3TAMPA, FL, 33602, United States
CRD 285057
Filing source
Form ADV 1873138 · May 1, 2024 · Items 1 & 5
Reported by DFN MANAGEMENT LLC. (CRD 285057).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.