DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M•••••• L••• C•••••• M••••••••• L•••

CRD 148887

PROVIDENCE, RI

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Search this name across graphsid dfx:ria:329e3e01-a2e0-79d5-9e7d-f43090b3a180

Data as of Mar 18, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 2
Observed: Mar 29, 2012 to Mar 18, 2021
21 observations

Across DFX

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

Private Equityidentity

M•••••• L••• C•••••• M••••••••• L•••

Private equity manager · shared crd

Real Estate Fundsidentity

M•••••• L••• C•••••• M••••••••• L•••

Real estate fund manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $882M
Private client RAUM: $1.5Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••• S••••••• L••	Private Equity Fund	$0	Mar 18, 2021	4	Mar 18, 2021	reported	021-375684
M•••••• L••• G•••• W••••• I•••••••• L••	Private Equity Fund	$0	Aug 28, 2018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• G•••• M••••••	CONTROLLER AND CHIEF COMPLIANCE OFFICER	Na	yes	06/2017	Jun 29, 2017	Mar 18, 2021
C•••••• H••••••• D••••••	SOLE MEMBER	E	yes	10/2008	Mar 29, 2012	Mar 18, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••• D•••••• C•••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$1.6B	$1.4B	14.7%	$1.2B	10.6%	7	9	1	0

Relationships

Advises (2)

→ M••• S••••••• L••Private fundPrivate Equity Fund, IA
Mar 18, 2021 to presentfactForm ADV
→ M•••••• L••• G•••• W••••• I•••••••• L••Private fundPrivate Equity Fund, IA, no longer reported
Dec 16, 2016 to Aug 28, 2018factForm ADV

Controls (4)

← C•••••• H••••••• D••••••OwnerSOLE MEMBER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← S•••••• M••••••• B••••••

Dated events

Occurred
Sep 17, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$315M
Occurred
Jan 22, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:329e3e01-a2e0-79d5-9e7d-f43090b3a180
First observed: Mar 29, 2012
Last observed: Mar 18, 2021 67 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.