DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

T••••••• P••••••• L•••

CRD 156040

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jun 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 89
Dated events: 56
On other graphs: 3
Observed: Feb 14, 2012 to Jun 4, 2026
48 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

••• Locked

Dated 2026-06-04 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

Advisor Recruiting IntelligenceJun 4, 2026 · seen 8 days ago

Across DFX

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

Private Equityidentity

T•• A•••• M••••••••• L•••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

T••••••• P••••••• L•••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

T••••••• P••••••• L•••

Private credit manager · key_crd, key_sfn_adviser, 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=0.94 institutional_share=0.06 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $6.4B••• Locked
Discretionary RAUM: $6.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 122

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•• X•• L•••••• P•••••••••	Securitized Asset Fund	$681M	Mar 28, 2024	0	Feb 28, 2014	dropped	n/a
C••••••••• C•••••• F••• A• L•	Private Equity Fund	$581M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• S•••• A•••••	GENERAL COUNSEL	Na	yes	06/2009	Feb 14, 2012	Mar 28, 2024
G•••••• P•••• R•••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2017	Mar 31, 2017	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• F•••••••• M••••••••• L•	n/a	Asset manager	$4.3B	Y	yes	n/a
A••••• P••••••• G• L••••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	26	no
DELRAY BEACH	FL	United States	2	no

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	$6.4B	$19B	-66.1%	$22B	-33.5%	122	147	2	3

Relationships

showing 80 of 89

Affiliated with (2)

→ T••••••• F•••••••• M••••••••• L•Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
← E•••••• I••••••••• N•••• A•••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV

Advises (64)

→ W••••••••• R•••• E•••• M••••• F•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV

Dated events

Order

Occurred
4 Jun 2026
Ria private fund assets change
••• Locked
Form ADV
down $12.7B
Occurred
4 Jun 2026
Regulatory AUM changed
••• Locked
Form ADV
down $6.5B
Occurred
4 Jun 2026
Private fund first reported9 events
Private fund first reported: 9 on 4 Jun 2026
$15.5M to $219M
- ••• Locked$219M
- ••• Locked$166M
- ••• Locked$139M
Occurred
4 Jun 2026
Private fund no longer reported31 events
Private fund no longer reported: 31 on 4 Jun 2026
$15.8M to $1.7B
- ••• Locked$1.7B
- ••• Locked$681M
- ••• Locked$502M
Occurred
4 Jun 2026
Private fund gav change8 events
Private fund gav change: 8 on 4 Jun 2026
down $132M to $392M
- ••• Lockeddown $392M
- ••• Locked$365M
- ••• Locked$334M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Jun 4, 2026 3 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.

All 25 rows

Fund	Type	Reported GAV	As of	First reported	Status	Form D file
L•• 2• L•••	Securitized Asset Fund	$481M	Mar 28, 2024	Feb 21, 2019	dropped	n/a
L•• 3• L•••	Securitized Asset Fund	$452M	Mar 28, 2024	Oct 21, 2022	dropped	n/a
L•• X••• L•••	Securitized Asset Fund	$434M	Mar 28, 2024	Feb 23, 2018	dropped	n/a
L•• X• L•••••• P•••••••••	Securitized Asset Fund	$412M	Mar 28, 2024	Feb 28, 2014	dropped	n/a
L•• 2• L•••	Securitized Asset Fund	$411M	Mar 28, 2024	Feb 21, 2019	dropped	n/a
L•• 4• L•••	Securitized Asset Fund	$401M	Mar 28, 2024	Feb 22, 2023	dropped	n/a
L•• 3• L•••	Securitized Asset Fund	$398M	Mar 28, 2024	Mar 31, 2021	dropped	n/a
L•• 3• L•••	Securitized Asset Fund	$398M	Mar 28, 2024	Oct 21, 2022	dropped	n/a
L•• 3• L•••	Securitized Asset Fund	$398M	Mar 28, 2024	Feb 23, 2022	dropped	n/a
L•• 3• L•••	Securitized Asset Fund	$397M	Mar 28, 2024	Feb 26, 2020	dropped	n/a
L•• 2• L•••	Securitized Asset Fund	$395M	Mar 28, 2024	Feb 26, 2020	dropped	n/a
L•• 2• L••	Securitized Asset Fund	$393M	Mar 28, 2024	Feb 21, 2019	dropped	n/a
L•• X•• L•••••• P•••••••••	Securitized Asset Fund	$356M	Mar 28, 2024	Feb 28, 2014	dropped	n/a
L•• 3• L•••	Securitized Asset Fund	$350M	Mar 28, 2024	Oct 21, 2022	dropped	n/a
T••••••••• C•• 2••••• L•••	Securitized Asset Fund	$346M	Jun 4, 2026	Feb 26, 2020	reported	n/a

All 14 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•• A•••• M••••••••• G• L•••	GENERAL PARTNER	Na	yes	06/2009	Mar 31, 2022	Mar 28, 2024
T•• A•••• M••••••••• T•••• L•••	L•••••• PARTNER	E	yes	10/2012	Mar 31, 2022	Mar 28, 2024
W••••••••• G••••••• N••	DIRECTOR OF BUSINESS DEVELOPMENT	Na	yes	06/2009	Feb 14, 2012	Mar 28, 2024
T••••••• F•••••••• G•••• ••••••••• L••	L•••••• PARTNER	B	no	06/2020	Mar 31, 2021	Mar 28, 2024

All 20 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••• I••••••••• N•••• A•••••• L•••	n/a	n/a	n/a	Y	yes	n/a
E•••••• M• G• 1• L••••••	n/a	n/a	n/a	Y	yes	n/a
E•••••• M• G• 2• L••••••	n/a	n/a	n/a	Y	yes	n/a
E•••••• M• G• 2• L••••••	n/a	n/a	n/a	Y	yes	n/a
E•••••• M• G• 8• L••••••	n/a	n/a	n/a	Y	yes	n/a
E•••••• M• G• T••• L••••••	n/a	n/a	n/a	Y	yes	n/a
H•••••• P•••• G• L••••••	n/a	n/a	n/a	Y	yes	n/a
P•••••• P•• L••••••	n/a	n/a	n/a	Y	yes	n/a
P•••••• R••••••• F••• G•	n/a	n/a	n/a	Y	yes	n/a
W••••••••• R•••• G• L••••••	n/a	n/a	n/a	Y	yes	n/a

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$9.3B	$9.3B	80	42	n/a	24	$8.0B
2014	Mar 31, 2015	$8.2B	$8.2B	74	37	n/a	21	$7.0B
2013	Feb 28, 2014	$7.8B	$7.8B	75	30	n/a	20	$6.9B
2012	Mar 28, 2013	$6.3B	$6.3B	66	27	n/a	17	$6.2B