DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

N••••••• C••••••• L•

CRD 281893

NEW YORK, NY

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Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 10
On other graphs: 3
Observed: Nov 5, 2015 to Mar 27, 2026
17 observations

Across DFX

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

Private Equityidentity

N••••••• C••••••• L•

Private equity manager · cited, key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

N••••••• C••••••• L•

Capital provider to sponsors · cited, key_crd, key_sfn_adviser, shared_crd

Allocatorsidentity

N••••••• C••••••• L•

Manager with allocator commitments · cited, key_crd, key_sfn_adviser, 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: $2.1B••• Locked
Discretionary RAUM: $2.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 31

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••••• C•••••• F••• I•• L•	Private Equity Fund	$583M	Mar 27, 2026	31	Mar 30, 2020	reported	021-349226
N••••••• C•••••• F••• V• L•	Private Equity Fund	$488M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• A•••••• B••••	CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER	A	yes	10/2015	Nov 5, 2015	Mar 28, 2024
K••••••• J••••• C••••••••	Partner	B	yes	01/2022	Mar 30, 2023	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

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

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	$2.1B	$2.2B	-3.8%	$1.8B	5.5%	31	27	0	0

Relationships

Advises (9)

→ N••••••• C•••••• F••• V••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2023 to presentfactForm ADV
→ N••••••• C•••••• F••• I•••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ N••••••• C•••••• F••• I••••• L•Private fundPrivate Equity Fund, IA
Mar 17, 2016 to presentfactForm ADV
→ N••••••• C•••••• F••• I•• L•

Dated events

Order

Occurred
27 Mar 2026
Private fund gav change
••• Locked
Form ADV
down $174M
Occurred
30 Mar 2023
Control person joined4 events
N••••••• C••••••• L•: control person joined, 4 events, on 30 Mar 2023
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
28 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$506M
Occurred
30 Mar 2020
Regulatory AUM changed
••• Locked
Form ADV
$264M
Occurred
27 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
down $365M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 5, 2015
Last observed: Mar 27, 2026 6 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.