DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

A••••• C•••••• L••

CRD 286298

WESTPORT, CT

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Search this name across graphsid dfx:ria:1004959c-7984-1a66-f7ca-ddf0df8abf50

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 1
Observed: Jun 29, 2022 to Apr 30, 2026
7 observations

Across DFX

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

Venture Capitalidentity

A••••• C•••••• L••

Venture manager · 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=true bd_reps=0.0
Regulatory AUM: $359M••• Locked
Discretionary RAUM: $359M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• O••••••••• M••••• F•••• S•• • S••••••••• M••••• P•••••••• B•	Hedge Fund	$297M	Mar 27, 2024	33	Feb 6, 2017	reported	021-275712
A••• O••••••••• F•••• L•••	Hedge Fund	$52.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• D•••••• R•••••	CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL	Na	yes	01/2024	Jan 10, 2024	Mar 27, 2024
K•••••• W••••• A••••	MANAGING MEMBER	E	yes	11/2016	Jun 29, 2022	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• C•••••• G• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 30, 2026

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	$359M	$265M	35.5%	$230M	16.0%	9	9	1	1

Relationships

Advises (6)

→ A••• O••••••••• M••••• F•••• S•• • S••••••••• M••••• P•••••••• B•Private fundHedge Fund, IA
Feb 6, 2017 to presentfactForm ADV
→ A••• O••••••••• M••••• F•••• S•• • S••••••••• M••••• P•••••••• A•Private fundHedge Fund, ERA, no longer reported
Feb 6, 2017 to Mar 24, 2021factForm ADV
→ A••• O••••••••• M••••• F•••• S•• • S••••••••• M••••• P•••••••• C•Private fundHedge Fund, ERA, no longer reported
Mar 30, 2020 to Mar 24, 2021factForm ADV
→

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$128M
Occurred
Jan 10, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 10, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 29, 2022
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1004959c-7984-1a66-f7ca-ddf0df8abf50
First observed: Jun 29, 2022
Last observed: Apr 30, 2026 4 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.