DFX Intelligence

Data Factory

C•••••••• A•••• M••••••••• 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 adviserother adviserSEC registeredRAUM 10b 100b

C•••••••• A•••• M••••••••• L••

CRD 175092

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:1765f711-7a3a-c2c0-f178-cf3fa7ffd870

Data as of Jun 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 84
Dated events: 22
On other graphs: 3
Observed: Mar 10, 2015 to Jun 15, 2026
31 observations

Across DFX

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

Private Equityidentity

C•••••••• A•••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

C•••••••• A•••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

C•••••••• A•••• M••••••••• L••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.55 institutional_share=0.38 related_bd=true related_bank=true bd_reps=15.0
Regulatory AUM: $56BItem 5.F on the latest filing (2026-06-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $56B
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; showing 25 of 45

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• M••••• M••••• S••••• L••• F••• • M••••• F••• S•••• S••••••••• • F••• I•	Private Equity Fund	$2.1B	Nov 29, 2024	34	Mar 31, 2022	reported	021-395160
C•••••••• M••• I•• I••••••••• S••••••••• L•	Hedge Fund

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
K•••••• K••••••• J•••	ELECTED MANAGER AND CHIEF EXECUTIVE OFFICER	B	yes	04/2015	Mar 10, 2015	Nov 29, 2024
K••••••• C••••••••• B•••	PRINCIPAL, CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Mar 30, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 55

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A•••••••• L••	n/a	Former SEC adviser	$436B	N	yes	n/a
T•••••••• I••••••••• M••••••••• L••	n/a	Asset manager	$292B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	20	no
Chicago	NY	United States	9	no
EL SEGUNDO	CA	United States	3	no
Dallas	TX	United States	1	no

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; showing 11 of 12

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

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
2025	$56B	$47B	18.1%	$32B	19.7%	206	198	4	4

Relationships

showing 80 of 84

Affiliated with (29)

← ADVICE AND PLANNING SERVICESRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← T•••••••• TUITION FINANCING, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ N••••• F••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W•••••• C•••••• M••••••••• L••

Dated events

Occurred
Mar 30, 2024
Control person joined
Beth Charmagne Kukulka (Principal, Chief Compliance Officer) appeared on Schedule A of C•••••••• A•••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Jun 30, 2023
Control person left
Emil Thomas Grenville (Chief Compliance Officer) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2023-03-31, absent 2023-06-30)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
David Durant Schwimmer (Managing Director Capital Markets & Origination) no longer on Schedule A of C•••••••• A•••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1765f711-7a3a-c2c0-f178-cf3fa7ffd870
First observed: Mar 10, 2015
Last observed: Jun 15, 2026 3 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.