DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

N••••• A••••••••• I••••••••• L••

CRD 300006

NEW YORK, NY

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Search this name across graphsid dfx:ria:077071eb-9d15-a8c4-565b-a66cf0a81dc4

Data as of Jul 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 15
On other graphs: 2
Observed: Jun 24, 2019 to Jul 21, 2026
23 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

N••••• A••••••••• I••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

N••••• A••••••••• I••••••••• L••

Capital provider to sponsors · shared crd

Private Equityowner

G••••• G••• C•••••• O••••••••• F•••••• L•

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.48 institutional_share=0.49 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $686M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••• C•• 2••• L••	Securitized Asset Fund	$582M	Jun 4, 2024	0	Mar 31, 2023	reported	n/a
N••••• 2••• C•• L••	Securitized Asset Fund	$189M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• J•••••• W••••••	CHIEF FINANCIAL OFFICER	Na	yes	07/2023	Jul 28, 2023	Jun 4, 2024
B•••••• O•••• K•••••	DEPUTY GENERAL COUNSEL AND SECRETARY	Na	yes	01/2023	Mar 31, 2023	Jun 4, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••• G••• P•••••• E••••• I•••	n/a	ASSET_M••••••	$11B	N	yes	n/a
N••••• G••••• C••••• L••	n/a	ASSET_M••••••	$6.4B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Hartford	Ct	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$1.4B	$1.4B	4.8%	$1.1B	8.9%	6	6	0	1

Relationships

Affiliated with (7)

→ G••••• G••• C••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ N•• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ N••••• G••••• C••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ N••••• P•••••• C••••• L••Registered adviser

Dated events

Occurred
Jul 28, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 28, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$238M
Occurred
Mar 31, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:077071eb-9d15-a8c4-565b-a66cf0a81dc4
First observed: Jun 24, 2019
Last observed: Jul 21, 2026 2 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 (14)

← G•••• P••••••• J•••OwnerMEMBER OF THE BOARD OF M••••••S, ownership code NA, individual
Jun 24, 2019 to Jun 4, 2024factForm ADV
← R•••• J•••• H••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 24, 2019 to Jun 4, 2024factForm ADV
← C••••••••• K•••••OwnerMEMBER OF THE BOARD OF M••••••S, ownership code NA, individual
Jun 24, 2019 to Jun 4, 2024factForm ADV
← S••••••••• R•••OwnerMANAGING DIRECTOR, ownership code NA, individual
Jun 15, 2020 to Jun 4, 2024factForm ADV
← B•••••• O•••• K•••••OwnerDEPUTY GENERAL COUNSEL AND SECRETARY, ownership code NA, individual
Mar 31, 2023 to Jun 4, 2024factForm ADV
← B•••••••• J•••••• W••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jul 28, 2023 to Jun 4, 2024factForm ADV
← G•• O••••••••• F••• M••••••••• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Jun 24, 2019 to Jun 4, 2024factForm ADV
← G•••• N••••• I••••••••• L•••OwnerLIMITED PARTNER, ownership code E, foreign entity
May 8, 2020 to Jun 4, 2024factForm ADV
← G••••• G••• C•••••• O••••••••• F•••• L•••OwnerLIMITED PARTNER, ownership code D, foreign entity
Jun 24, 2019 to Jun 4, 2024factForm ADV
← N••••• A•••• M••••••••• L••OwnerMEMBER OF N••••• A••••••••• I••••••••• L••, ownership code E, domestic entity
Jun 24, 2019 to Jun 4, 2024factForm ADV
← N••••• F•••••••• G•••• G• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Jun 24, 2019 to Jun 4, 2024factForm ADV
← N••••• F•••••••• G••••• L•••OwnerMEMBER, ownership code E, foreign entity
Jun 24, 2019 to Jun 4, 2024factForm ADV
← N••••• N•••• B••••••• L••OwnerLIMITED PARTNER, ownership code C, foreign entity
Jun 24, 2019 to Jun 4, 2024factForm ADV
← N••••• N•••• S•••••••• L•••OwnerLIMITED PARTNER, ownership code E, foreign entity
Jun 24, 2019 to Jun 4, 2024factForm ADV