DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

N••••• P•••••••• L••

CRD 295859

NEW YORK, NY

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Search this name across graphsid dfx:ria:105e50a5-0d8f-f426-15e4-742fec95a22e

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 3
On other graphs: 3
Observed: Oct 29, 2021 to May 1, 2026
17 observations

Across DFX

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

Private Equityidentity

N••••• P•••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

N••••• P•••••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

N••••• P•••••••• L••

Private credit 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=false bd_reps=0.0
Regulatory AUM: $510M••• Locked
Discretionary RAUM: $510M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••• N•••••• R•••••••• C••••• F••• I• L•	Private Equity Fund	$129M	Oct 18, 2024	57	Mar 31, 2023	reported	021-466712
N••••• N•••••• R•••••••• C••••• F••• I• L•	Private Equity Fund	$103M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• T•••••• E••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2022	Mar 31, 2023	Oct 18, 2024
F••••••• D•••••• E••••	CO-MANAGER	D	yes	05/2016	Oct 29, 2021	Oct 18, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 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	$510M	$387M	31.7%	$271M	23.5%	11	11	0	0

Relationships

Advises (36)

→ N••••• N••••• C•••••••• S••••• L•• • S••••• E•••••••• I•Private fundPrivate Equity Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ N••••• N••••• C•••••••• S••••• L•• • S••••• E•••••••• I••Private fundPrivate Equity Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ N••••• G••• F••• 1• L•Private fundPrivate Equity Fund, IA
Oct 29, 2021 to presentfactForm ADV
→ N••••• N•••••• R•••••••• C••••• F••• I• L•

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$123M
Occurred
Mar 31, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 29, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:105e50a5-0d8f-f426-15e4-742fec95a22e
First observed: Oct 29, 2021
Last observed: May 1, 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.