DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

C•• C••••• P•••••••• L••

CRD 138528

NEW YORK, NY

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Search this name across graphsid dfx:ria:1381158c-c2f8-1b0b-58e6-6d624a9d4558

Data as of Aug 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 121
Dated events: 12
On other graphs: 1
Observed: Jan 3, 2012 to Aug 28, 2026
57 observations

Across DFX

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

Private Creditidentity

C•• C••••• 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=0.95 institutional_share=0.03 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $62B••• Locked
Discretionary RAUM: $60B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 153

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•• C••••• P••••••• G••••• S•••••• S••••••••• F••• I• S•••	Hedge Fund	$1.8B	Mar 30, 2022	98	Mar 30, 2022	dropped	021-324345
C•• E••••••• C••••• O••••••••• S••••• •••••• I• R•••••• O• I•• C••••••••• A•	Hedge Fund	$1.7B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• C•••••••• R•••	D•••••OR	Na	yes	01/2021	Mar 2, 2022	Aug 1, 2024
B••••••••• G•••••••• L••	PARTNER, D•••••OR	Na	yes	01/2005	Jan 3, 2012	Aug 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• C••••• P••••••• U••• C•• M••••••••• L••	n/a	Asset manager	$2.3B	Y	yes	n/a
C•• C•••••• M•••••• S•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	47	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	$62B	$43B	41.7%	$30B	27.1%	153	139	0	0

Relationships

showing 80 of 121

Affiliated with (3)

→ C•• C••••• P••••••• U••• C•• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← C•• C••••• P••••••• U••• C•• M••••••••• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV
← R••••••• C••••• O••••••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (65)

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$18.2B
Occurred
Aug 1, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 1, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1381158c-c2f8-1b0b-58e6-6d624a9d4558
First observed: Jan 3, 2012
Last observed: Aug 28, 2026 25 days 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.

Controls (12)

← B••••••••• G•••••••• L••OwnerPARTNER, D•••••OR, ownership code NA, individual
Jan 3, 2012 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• I••••••••• M••••••••• L••••••OwnerSOLE MEMBER OF C•• C••••• P•••••••• L••, ownership code E, foreign entity
Mar 30, 2024 to Aug 1, 2024factForm ADV
← B•••••• C•••••••• R•••OwnerD•••••OR, ownership code NA, individual
Mar 2, 2022 to Aug 1, 2024factForm ADV
← H••••••• R•••• Z•••••OwnerGLOBAL CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 1, 2024 to Aug 1, 2024factForm ADV
← O••••••• K••••• M••••••OwnerD•••••OR, ownership code NA, individual
Feb 4, 2021 to Aug 1, 2024factForm ADV
← Y••••• K••••••• J••• M••••••••OwnerMANAGING PARTNER, CHAIRMAN, ownership code NA, individual
Apr 1, 2021 to Aug 1, 2024factForm ADV
← C•• C•••••• P••••••• C••••• P••••••• H••••••• I•• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Feb 19, 2016 to Aug 1, 2024factForm ADV
← C•• C•••••• P••••••• C••••• P••••••• H••••••• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Feb 19, 2016 to Aug 1, 2024factForm ADV
← C•• C•••••• P••••••• P••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
May 14, 2024 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• G•••••• P•••••• L••••••OwnerG•••••• PARTNER AND L•••••• PARTNER. MAJORITY SHAREHOLDER, ownership code E, foreign entity
Feb 19, 2016 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• G•••• H•••••• F•••••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Feb 19, 2016 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• L•••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Sep 29, 2017 to Aug 1, 2024factForm ADV