DFX Intelligence

D•••••• E••••• P••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

D•••••• E••••• P••••••• M••••••••• L••

CRD 327607

NEW YORK, NY

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Search this name across graphsid dfx:ria:017b97cd-0393-a93b-8e22-42deb47226e3

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 2
Observed: Aug 14, 2024 to Aug 20, 2026
4 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

D•••••• E••••• P••••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

D•••••• E••••• P••••••• M••••••••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $670M••• Locked
Discretionary RAUM: $670M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D•••••• E••••• •••• L•	Private Equity Fund	$211M	Aug 14, 2024	55	Aug 14, 2024	reported	021-492153
D• I••••••••• F••••• A••••••••• L••	Private Equity Fund	$128M	Jan 5, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• D••••• R•••	CHIEF FINANCIAL OFFICER	Na	yes	07/2024	Aug 14, 2024	Aug 14, 2024
C•••••••• K• D••	CHIEF EXECUTIVE OFFICER	D	yes	09/2023	Aug 14, 2024	Aug 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••••• E••••• •••• G• L•	n/a	n/a	n/a	N	yes	n/a
D•••••• E••••• •••• G• L•	n/a	n/a	n/a	N	yes	n/a
D•••••• E••••• G• L•	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$670M	$392M	71.1%	n/a	n/a	14	13	0	0

Relationships

Advises (6)

→ D•••••• E••••• •••• L••Private fundPrivate Equity Fund, ERA
Aug 14, 2024 to presentfactForm ADV
→ D•••••• E••••• •••• L•Private fundPrivate Equity Fund, IA
Aug 14, 2024 to presentfactForm ADV
→ D•••••• E••••• L•Private fundPrivate Equity Fund, IA
Aug 14, 2024 to presentfactForm ADV
→ D•••••• E••••• •••• L••Private fund

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
D•••••• E••••• P••••••• M••••••••• L•• reported RAUM $669.8M, up 71% from $391.5M (2025-03-31 to 2026-03-31)
Form ADVobserved 7 days ago
$278M
Occurred
Aug 14, 2024
First Form ADV filing
D•••••• E••••• P••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:017b97cd-0393-a93b-8e22-42deb47226e3
First observed: Aug 14, 2024
Last observed: Aug 20, 2026 33 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.