DFX Intelligence

Data Factory

P•••••••• P••••••• X•• 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 adviserformer SEC advisernot on rosterRAUM 1b 10b

P•••••••• P••••••• X•• L••

CRD 160755

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 graphsid dfx:ria:0ce40536-7a21-0804-12d3-6a49daf019a0

Data as of Mar 31, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to Mar 31, 2015
6 observations

Across DFX

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

Private Equityidentity

P•••••••• P••••••• X•• L••

Private equity manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $5.0BItem 5.F on the latest filing (2015-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.0B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Z-1 CDO 1996 LTD.	Securitized Asset Fund	$467,134	Mar 31, 2015	5	Feb 14, 2012	reported	n/a
AERIES FINANCE-II LTD.	Securitized Asset Fund	$27,333

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KATZ, ADAM, JOSHUA	CHIEF COMPLIANCE OFFICER (FILING ADVISER AND ALL RELYING ADVISERS)	Na	yes	03/2014	Mar 31, 2014	Mar 31, 2015
TILTON, LYNN	MANAGER AND MEMBER	E	yes	04/2003	Feb 14, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PATRIARCH PARTNERS V, LLC	n/a	n/a	n/a	N	yes	n/a
PATRIARCH PARTNERS VII, LLC	n/a	n/a	n/a	N	yes	n/a
PATRIARCH PARTNERS VIII, LLC

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$5.0B	$5.3B	-7.1%	n/a	n/a	50	50	n/a	n/a

Relationships

Advises (3)

→ Z-1 CDO 1996 LTD.Private fundSecuritized Asset Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ CAPTIVA CBO 1997-1 LTD.Private fundSecuritized Asset Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ AERIES FINANCE-II LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Feb 14, 2012 to Aug 6, 2013factForm ADV

Controls (3)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ce40536-7a21-0804-12d3-6a49daf019a0
First observed: Feb 14, 2012
Last observed: Mar 31, 2015 139 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.