DFX Intelligence

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

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 1b 10b

R•••••••

R•• A•••• A••••••• ••• L••, CRD 166517

MIAMI, FL

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Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 33
On other graphs: 1
Observed: Feb 26, 2013 to Mar 25, 2026
29 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Allocatorsidentity

R•• A•••• A••••••• ••• L••

Manager with allocator commitments · Key CRD

Private Equityowner

L•••••• P••• C••••••• L••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

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=0.46 institutional_share=0.0 related_bd=false related_bank=true bd_reps=7.0
Regulatory AUM: $4.4B••• Locked
Discretionary RAUM: $4.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R••••••• E••••••• M•••••• E••••• M••••• F••• L••••••	Hedge Fund	$1.5B	Mar 25, 2026	43	Apr 20, 2015	reported	021-245973
R•• U• A••••••• A•••• F•••	Other Private Fund	$115M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• S•••• W••••••	D••••••• O• R•• P••••••• L••••••	Na	yes	01/2020	Mar 18, 2020	Nov 21, 2024
C•••••• P••••	D••••••• O• R•• P••••••• L••••••	Na	yes	03/2020	Mar 18, 2020	Nov 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• A•••• M••••••••• L••	n/a	Asset manager	$17B	N	yes	n/a
E••••• E• G•• L••	n/a	n/a	n/a	N	yes	n/a
E••••• E•• G•• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	no

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	$4.4B	$4.5B	-2.3%	$7.3B	-15.5%	22	29	1	1

Relationships

Affiliated with (2)

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

Advises (5)

→ R••••••• E••••••• M•••••• E••••• M••••• F••• L••••••Private fundHedge Fund, IA
Apr 20, 2015 to presentfactForm ADV
→ R••••••• I••••••••• E••••• M••••• F••• L••••••

Dated events

7 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
25 Mar 2026
Ria principal change
••• Locked
Form ADV
Occurred
25 Mar 2026
Ria private fund assets change
••• Locked
Form ADV
down $1.8B
Occurred
25 Mar 2026
Private fund gav change
••• Locked
Form ADV
down $1.8B
Occurred
14 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
down $3.1B
Occurred
19 Mar 2024
Control person joined3 events
R•••••••: control person joined, 3 events, on 19 Mar 2024
- ••• Locked
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 26, 2013
Last observed: Mar 25, 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.

All 17 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••••• N•••••• J•••	D••••••• O• R•• P••••••• L••••••	Na	yes	03/2020	Mar 18, 2020	Nov 21, 2024
R•• ••• L••	Member	E	yes	03/2017	Mar 24, 2017	Nov 21, 2024
R•• P••••••• M•••• L••••••	Shareholder	E	yes	02/2020	Mar 24, 2021	Nov 21, 2024
R•• P••••••• H••••••• L••	Shareholder	E	yes	02/2020	Mar 24, 2021	Nov 21, 2024
R•• P••••••• L••••••	Member	E	yes	11/2012	Feb 26, 2013	Nov 21, 2024
S•••••••• T•••	D••••••• O• R•• P••••••• L••••••	Na	yes	01/2020	Mar 18, 2020	Nov 21, 2024
W•••••••• C•••••••• C••••••••	C•••• F•••••••• O•••••• O• R•• P••••••• L••••••	Na	yes	08/2016	Mar 18, 2020	Nov 21, 2024

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$1.0B	$1.0B	21	13	n/a	5	$519M
2014	Jun 3, 2015	$583M	$82.1M	5	4	n/a	5	$0
2013	Mar 31, 2014	$224M	$224M	1	1	n/a	n/a	n/a