DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM over $100B

A•••• A•••• M••••••••• L••

CRD 304316

NEW Y•••, NY

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Search this name across graphs

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 23
On other graphs: 2
Observed: Dec 16, 2020 to Mar 31, 2026
18 observations

Across DFX

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

Private Equityidentity

A•••• A•••• M••••••••• L••

Private equity manager · key_cik, key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

A•••• A•••• M••••••••• L••

Capital provider to sponsors · key_cik, 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=0.7 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $133B••• Locked
Discretionary RAUM: $119B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 110

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G••••• A••••••••• F••• S••	Private Equity Fund	$2.5B	Mar 31, 2026	2	Dec 16, 2020	reported	n/a
G••••• A••••••••• T•••• I•	Private Equity Fund	$177M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• I•••	Member	E	yes	10/2017	Dec 16, 2020	Aug 13, 2024
A••••••• R••••••• B••••	MD, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY	Na	yes	10/2017	Dec 16, 2020	Aug 13, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• A•••• M••••••••• J••••• L•••	n/a	n/a	n/a	Y	yes	n/a
A•••• L••• I•••••••• J••••• L•••	n/a	n/a	n/a	N	yes	n/a
A•••• R• B•••••• 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	$133B	$106B	26.1%	$113B	5.8%	110	103	0	0

Relationships

Advises (2)

→ G••••• A••••••••• F••• S••Private fundPrivate Equity Fund, IA
Dec 16, 2020 to presentfactForm ADV
→ G••••• A••••••••• T•••• I•Private fundPrivate Equity Fund, IA, no longer reported
Dec 16, 2020 to Nov 16, 2021factForm ADV

Controls (12)

← L••• X••••••OwnerMD, GLOBAL HEAD OF CREDIT, ownership code NA, individual
Jul 28, 2023 to Aug 13, 2024factForm ADV
← A••••••• R••••••• B••••

Dated events

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

Order

Occurred
31 Mar 2026
Ria private fund assets change
••• Locked
Form ADV
$1.2B
Occurred
31 Mar 2026
Private fund gav change
••• Locked
Form ADV
$1.2B
Occurred
31 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$27.7B
Occurred
31 Mar 2026
Ria principal change2 events
A•••• A•••• M••••••••• L••: ria principal change, 2 events, on 31 Mar 2026
- ••• Locked
- ••• Locked
Occurred
24 Jul 2024
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 16, 2020
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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••••• A•••	MD, CHIEF FINANCIAL OFFICER	Na	yes	08/2022	Sep 22, 2022	Aug 13, 2024
Y•••••••• H•••••	Director	Na	yes	10/2017	Dec 16, 2020	Aug 13, 2024