DFX Intelligence

C••••••• C•••••• G•••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

C••••••• C•••••• G•••• L•

CRD 153966

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:026b17f7-9e0f-4347-6c15-42a0a10943f8

Data as of May 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 149
Dated events: 40
On other graphs: 5
Observed: Mar 30, 2012 to May 21, 2026
52 observations

Across DFX

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

Private Equityidentity

C••••••• C•••••• G•••• L•

Private equity manager · cited, key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

C••••••• C•••••• G•••• L•

Capital provider to sponsors · cited, key crd, key sfn adviser, shared crd

Allocatorsidentity

C••••••• C••••••

Manager with allocator commitments · cited, key crd, key sfn adviser, shared crd

Private Credit

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=0.84 institutional_share=0.16 related_bd=true related_bank=true bd_reps=12.0
Regulatory AUM: $50B••• Locked
Discretionary RAUM: $50B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 239

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••• M•••••••• P••••••• V•••• L•••	Private Equity Fund	$2.6B	May 21, 2026	85	Mar 29, 2016	reported	021-253440
C••••••• C••••• S•••••••• V•••• L•	Private Equity Fund	$1.2B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• M•••• L••••	Owner	D	yes	05/2010	Mar 30, 2012	May 23, 2024
A••••••••• M•••• L••••	Owner	C	yes	12/2011	Mar 30, 2012	May 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••••• F•••••••• S••••••• C••••••	n/a	Asset manager	$514B	N	yes	n/a
M•• I••••••••• A••••••• I•••	n/a	Other adviser	$114B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	76	yes
Boston	Ma	United States	26	yes
London	n/a	United Kingdom	24	no
Chicago	IL	United States	5	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$50B	$44B	13.6%	$43B	4.8%	239	231	5	6

Relationships

showing 80 of 149

Affiliated with (15)

← A••••••• A•••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← B••••••••• ••••• L•••••• P•••••••••Registered adviserother investment adviser, common control
factForm ADV
← B••••••••• S•••••••• C•••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV
← B•• U• R••• E••••• L•Registered adviser

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 21, 2026
Ria ind••••• owner change
••• Locked
Form ADVobserved today
Occurred
May 21, 2026
Ria ind••••• owner change
••• Locked
Form ADVobserved today
Occurred
May 21, 2026
Ria ind••••• owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:026b17f7-9e0f-4347-6c15-42a0a10943f8
First observed: Mar 30, 2012
Last observed: May 21, 2026 4 months 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.