DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

R•• M••••••••• C•••••••••

CRD 160360

WESTPORT, CT

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Search this name across graphsid dfx:ria:0c0c125b-be2c-fcda-6947-cc90bc33280d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 5
On other graphs: 2
Observed: Feb 14, 2012 to Mar 31, 2026
18 observations

Across DFX

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

Private Equityidentity

R•• M••••••••• C•••••••••

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

Independent Sponsorsidentity

R•• M••••••••• C•••••••••

Capital provider to sponsors · 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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $913M••• Locked
Discretionary RAUM: $913M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• I••••••••• P••••••• I•• L•••	Private Equity Fund	$422M	Mar 31, 2026	62	Mar 30, 2020	reported	021-361462
R•• I••••••••• P••••••• V•••• L•••	Private Equity Fund	$226M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• M••••••• J••••••	RFE MGT. CORP. - MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, VP & SECRETARY, COMMON STOCK SHAREHOLDER, BOARD MEMBER	B	yes	05/1991	Feb 14, 2012	Mar 29, 2024
P••••••• J••••• A•••••	RFE MGT. CORP. - MANAGING DIRECTOR, PRESIDENT, COMMON STOCK SHAREHOLDER, BOARD MEMBER	B	yes	05/1991	Feb 14, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• A••••••••• I• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
R•• A••••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
R•• A••••••••• V••• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	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	$913M	$772M	18.3%	$707M	8.9%	17	15	1	1

Relationships

Advises (10)

→ R•• T•• S••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ R•• I• P•••••••• L•••Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ R•• I••••••••• P••••••• V•••• L•••Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ R•• I••••••••• P••••••• V••• L•••

Dated events

Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$55.1M
Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$185M
Occurred
Mar 30, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2020

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c0c125b-be2c-fcda-6947-cc90bc33280d
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.