DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

R•••• C•••••• M••••••••• ••• L•

CRD 306046

NEW YORK CITY, NY

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Search this name across graphsid dfx:ria:2a45631a-553f-8114-f7a3-6e77a73c8afa

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 18
On other graphs: 2
Observed: Oct 17, 2019 to Aug 26, 2026
35 observations

Across DFX

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

Private Equityidentity

R•••• C•••••• M••••••••• ••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

R•••• C•••••• 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=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $20B••• Locked
Discretionary RAUM: $20B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 51

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• P•••••• M•••••• M••••• F••• L•	Private Equity Fund	$100M	Nov 27, 2024	9	Sep 3, 2021	reported	021-405768

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••••••• C•••••••	CHIEF LEGAL OFFICER	Na	yes	08/2021	Aug 17, 2021	Nov 27, 2024
R•••• C•••••• M••••••••• ••• L••	GENERAL PARTNER	F	yes	09/2015	Oct 17, 2019	Nov 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••• C•••••• M••••••••• L••	n/a	Asset manager	$219B	N	yes	n/a
R•• P•••••• M•••••• ••• L••••••	n/a	n/a	n/a	N	yes	n/a
R•••• C•••••• M••••••••• ••••••• 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	$20B	$21B	-3.3%	$14B	12.6%	51	43	0	0

Relationships

Affiliated with (2)

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

Advises (1)

→ R•• P•••••• M•••••• M••••• F••• L•Private fundPrivate Equity Fund, IA
Sep 3, 2021 to presentfactForm ADV

Controls (7)

Dated events

Occurred
Jun 12, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 12, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 12, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a45631a-553f-8114-f7a3-6e77a73c8afa
First observed: Oct 17, 2019
Last observed: Aug 26, 2026 27 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.