DFX Intelligence

P•••• 4• C•••••• P•••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

P•••• 4• C•••••• P•••••••• L•••

CRD 334365

COS COB, CT

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Data as of Jun 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 6
On other graphs: 3
Observed: Jun 26, 2026 to Jun 26, 2026
1 observations

Across DFX

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

Private Equityidentity

P•••• 4• C•••••• P•••••••• L•••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

P•••• 4• C•••••• P•••••••• L•••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Allocatorsidentity

P•••• 4• C•••••• P•••••••• L•••

Manager with allocator commitments · 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: $563M••• Locked
Discretionary RAUM: $563M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••• 4• C•••••• P••••••• I• L•••	Private Equity Fund	$294M	Jun 26, 2026	32	Dec 18, 2024	reported	021-516947
P•••• 4• C•••••• I••••••••• H••• I• L•••	Private Equity Fund	$114M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••• 4• C•••••• P••••••• G••	GENERAL PARTNER	Na	yes	05/2022	Jun 26, 2026	Jun 26, 2026
W••••••••• J•••••• R•••	MANAGING PARTNER / CHIEF COMPLIANCE OFFICER / LIMITED PARTNER	C	yes	02/2020	Jun 26, 2026	Jun 26, 2026

Relationships

Advises (6)

→ R•••••• C••••••••• L•••Private fundPrivate Equity Fund, IA
Jun 26, 2026 to presentfactForm ADV
→ P•••• 4• C•••••• P••••••• I• L•••Private fundPrivate Equity Fund, IA
Dec 18, 2024 to presentfactForm ADV
→ R•••••• U••••••• H•••••••• L•••Private fundPrivate Equity Fund, IA
Jun 26, 2026 to presentfactForm ADV
→ W•••• U••••••• H•••••••• L•••

Dated events

Occurred
Jun 26, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$433M
Occurred
Jun 26, 2026
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Jun 26, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$3.4M
Occurred
Jun 26, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 26, 2026
Last observed: Jun 26, 2026 2 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.