DFX Intelligence

O•••••••• G••••• M••••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

O•••••••• G••••• M••••••••• L•

CRD 288356

NEW YORK, NY

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Search this name across graphsid dfx:ria:26420eff-fc9b-8d59-76d6-565e474e7bbc

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 12
On other graphs: 2
Observed: Sep 29, 2017 to Mar 31, 2026
20 observations

Across DFX

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

Private Equityidentity

O•••••••• G••••• M••••••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

O•••••••• G••••• M••••••••• L•

Capital provider to sponsors · 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=0.93 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $481M••• Locked
Discretionary RAUM: $481M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•••••••• P•••••• O••••••••• F••• L•	Private Equity Fund	$232M	Mar 31, 2026	28	Mar 24, 2022	reported	021-401608
O•••••••• M••••••••• C•••••••• M••••• F••• L•	Hedge Fund	$146M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• C••••••••• J••••••	CHIEF COMPLIANCE OFFICER AND DIRECTOR OF FINANCE	Na	yes	02/2020	Feb 28, 2020	Mar 29, 2024
H••••••••• S••••• D•••••	MANAGING MEMBER	E	yes	03/2017	Sep 29, 2017	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••••••• M••••••••• C•••••••• F••• G• L••	n/a	n/a	n/a	Y	yes	n/a
O•••••••• M••••••••• O••••••••• F••• G• L•	n/a	n/a	n/a	Y	yes	n/a
O•••••••• P•••••• O••••••••• F••• G• L•

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$481M	$481M	-0.0%	$428M	4.0%	8	8	0	0

Relationships

Advises (12)

→ O•••••••• M••••••••• C•••••••• F••• L•Private fundHedge Fund, IA
Mar 29, 2024 to presentfactForm ADV
→ O•••••••• P•••••• O••••••••• F••• L•Private fundPrivate Equity Fund, IA
Mar 24, 2022 to presentfactForm ADV
→ O•••••••• M••••••••• O••••••••• F••• L•Private fundPrivate Equity Fund, IA
Mar 24, 2022 to presentfactForm ADV
→ O•••••••• P•••••• E••••• F••••• I• L••

Dated events

Occurred
Mar 31, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$161M
Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$146M
Occurred
Mar 31, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
0 USD_GAV
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:26420eff-fc9b-8d59-76d6-565e474e7bbc
First observed: Sep 29, 2017
Last observed: Mar 31, 2026 5 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.