DFX Intelligence

D•••• W••• R••• E••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

D•••• W••• R••• E••••• S•••••••• L••

CRD 156762

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:02ac56be-8a64-7555-3216-d4199eb88c03

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 61
Dated events: 12
On other graphs: 2
Observed: Feb 14, 2012 to Mar 31, 2026
32 observations

Across DFX

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

Private Creditidentity

D•••• W••• R••• E••••• S•••••••• L••

Private credit manager · shared crd

Real Estate Fundsidentity

D•••• W••• R••• E••••• S•••••••• L••

R••• estate fund manager · 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=0.93 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $16B••• Locked
Discretionary RAUM: $7.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $16Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
I•• R•••••• D•••••	n/a	Austin, TX	3	12	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D•••••••• F••• V•••• L•	R••• E••••• Fund	$2.9B	May 10, 2024	48	Mar 30, 2020	reported	021-349836
D•••••••• F••• V• L•	R••• E••••• Fund	$2.5B	May 10, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• M••••••• F•••••••	PRESIDENT, CHIEF OPERATING OFFICER	Na	yes	04/2012	May 20, 2016	May 10, 2024
D•••••• C••••••• L••	Member	E	yes	06/2022	Jun 28, 2022	May 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••••• C•••••• C••••• A•••••• L••	n/a	Asset manager	$7.9B	N	no	n/a
D•••• D•••• 4•• F•••• G•• L••	n/a	n/a	n/a	N	yes	n/a
D•••• S••• H••• C••••••••• P•••••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Cambridge	Ma	United States	11	no
BEVERLY H•••S	CA	United States	8	no
Washington	Dc	United States	4	no
NEW YORK	NY	United States	3	no
Irvine	CA	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$16B	$16B	3.5%	$16B	-0.1%	215	198	7	7

Relationships

Affiliated with (2)

→ L••••••• C•••••• C••••• A•••••• L••Registered adviserother investment adviser
factForm ADV
← L••••••• C•••••• C••••• A•••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (36)

→ S••• H••• C••••••••• J•• L•Private fundR••• E••••• Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ D•••••••• F••• V•••• L•

Dated events

Occurred
Mar 31, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02ac56be-8a64-7555-3216-d4199eb88c03
First observed: Feb 14, 2012
Last observed: Mar 31, 2026 5 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.

Controls (18)

← M••••••• R•••••• G••OwnerMEMBER, ownership code E, individual
Feb 14, 2012 to May 10, 2024factForm ADV
← F•••••••• M•••• L•••••••OwnerTRUSTEE, ownership code F, individual
Mar 28, 2019 to May 10, 2024factForm ADV
← G•••••••• L•••• M•OwnerT•••SURER, ownership code NA, individual
Mar 31, 2023 to May 10, 2024factForm ADV
← S••••••••• M•••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2019 to May 10, 2024factForm ADV
← S••••• S•••••• Z••••••OwnerMEMBER, ownership code D, individual
Feb 14, 2012 to May 10, 2024factForm ADV
← S••••••• M••••• P••••OwnerSECRETARY, ownership code NA, individual
Jun 5, 2017 to May 10, 2024factForm ADV
← C•••• M••••••• F•••••••OwnerPRESIDENT, CHIEF OPERATING OFFICER, ownership code NA, individual
May 20, 2016 to May 10, 2024factForm ADV
← D•••••• C••••••• L••OwnerMEMBER, ownership code E, domestic entity
Jun 28, 2022 to May 10, 2024factForm ADV
← D•••••• M••••••• M••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Jun 28, 2022 to May 10, 2024factForm ADV
← F•••• R••••••• T•••• C•••••• O• D•••••••• L••OwnerTRUSTEE, ownership code F, domestic entity
Jul 25, 2022 to May 10, 2024factForm ADV
← G•••••• L••OwnerMEMBER, ownership code D, domestic entity
Mar 28, 2019 to May 10, 2024factForm ADV
← M••• L• F••••••• 2••• R•••••••• T••••OwnerMEMBER, ownership code E, domestic entity
May 10, 2024 to May 10, 2024factForm ADV
← M• M••••••••• H••••••• L••OwnerMEMBER, ownership code C, domestic entity
Jun 28, 2022 to May 10, 2024factForm ADV
← R••••••••• G•••••• P••••••• L••OwnerG•••••• PARTNER, ownership code F, domestic entity
Jun 28, 2022 to May 10, 2024factForm ADV
← R••••••••• L•••••• P•••••••••OwnerMEMBER, ownership code C, domestic entity
Jun 28, 2022 to May 10, 2024factForm ADV
← S•••• F••••• 2••• D•••••• T••••OwnerMEMBER, ownership code E, domestic entity
Jan 26, 2022 to May 10, 2024factForm ADV
← S•••• F••••• L•••••• L••OwnerMEMBER, ownership code C, domestic entity
Jan 26, 2022 to May 10, 2024factForm ADV
← S•••• I••••••••• C••• L••OwnerMEMBER, ownership code C, domestic entity
Mar 28, 2019 to May 10, 2024factForm ADV