DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

I•• I•••••••• ••• A••••••• L••

CRD 146366

NEW YORK, NY

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Search this name across graphsid dfx:ria:068cb7d7-7966-0931-7a08-fd9cadbb7511

Data as of Dec 9, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 7
On other graphs: 1
Observed: Mar 30, 2012 to Dec 9, 2025
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

I•• I•••••••• ••• A••••••• L••

Intermediary · shared crd

Private Equityowner

I•• I•••••••• P•• L••

schedule ab owner name equals pe organization name · confidence 50%

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=0.95 institutional_share=0.05 related_bd=true related_bank=false bd_reps=30.0
Regulatory AUM: $40B••• Locked
Discretionary RAUM: $4.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
A••••••s on IAPD: 0
Employees: 157

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•• G••••• I••••••••• •••• L•••	Other Private Fund	$2.0B	Feb 28, 2013	44	Mar 30, 2012	dropped	021-126507
I•• G••••• I••••••••• N•• S••• L•••	Hedge Fund	$323M	Sep 28, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• J••••• F••••••••	D••••••• O• I•• I•••••••• ••• A••••••• L••	Na	yes	10/2014	Sep 28, 2015	Sep 28, 2024
I•• H••••••• P•• L••	Shareholder	E	yes	03/2009	Mar 30, 2012	Sep 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•• I•••••••• P•• L••	n/a	Asset manager	$153B	Y	yes	n/a
I•• ••• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Houston	TX	United States	5	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	A••••••y 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
2024	$40B	$29B	39.8%	$20B	26.0%	157	144	2	1

Relationships

Affiliated with (2)

← I•• I•••••••• P•• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ I•• I•••••••• P•• L••Registered adviserother investment adviser, control, common control
factForm ADV

Advises (4)

→ I•• G••••• I••••••••• N•• S••• L•••Private fundHedge Fund, IA
Sep 28, 2023 to presentfactForm ADV
→ I•• G••••• I••••••••• •••• L•••

Dated events

Occurred
Sep 28, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 28, 2022
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 28, 2022
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 28, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:068cb7d7-7966-0931-7a08-fd9cadbb7511
First observed: Mar 30, 2012
Last observed: Dec 9, 2025 9 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.