DFX Intelligence

A••••• 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

A••••• C••••••••• M••••••••• L•••

CRD 147994

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:32e9009c-067d-1559-9488-673e33270325

Data as of Aug 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 0
On other graphs: 4
Observed: Mar 28, 2012 to Aug 23, 2016
17 observations

Across DFX

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

Private Equityidentity

A••••• C••••••••• M••••••••• L•••

Private equity manager · cited, shared crd

Allocatorsidentity

A••••• C••••••••• M••••••••• L•••

Manager with allocator commitments · cited, shared crd

Private Creditidentity

A••••• C••••• M••••••••• L••

adv common controlling ancestor · confidence 90% · family precision 100%

Private Creditidentity

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: $2.8B••• Locked
Discretionary RAUM: $2.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 945
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• ••• I••• L•••	Private Equity Fund	$12.8M	Mar 28, 2013	22	Mar 28, 2013	dropped	n/a
A••• I• T• ••••••••• D••• L••	Private Equity Fund	$3.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• H••••••• •••••••• L•••	L•••••• PARTNER	E	yes	10/2012	Dec 20, 2012	Aug 23, 2016
A•• H••••••• G•• L•••	GENERAL PARTNER	F	yes	10/2012	Dec 20, 2012	Aug 23, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• C•••••• M••••••••• L•••	n/a	Other adviser	$718B	N	yes	n/a
A••••• M••••••••• L•••	n/a	Former SEC adviser	$90B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	n/a	no
NEW YORK	NY	United States	n/a	no
Purchase	NY	United States	n/a	no
Houston	TX	United States	n/a	no
London	n/a	United Kingdom

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$2.8B	$1.8B	53.7%	$1.3B	29.7%	945	845	n/a	n/a

Relationships

Affiliated with (12)

→ A••••• V•••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••••• I••••••••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••••• M••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
→ A••••• C•••••• M••••••••• L•••Registered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32e9009c-067d-1559-9488-673e33270325
First observed: Mar 28, 2012
Last observed: Aug 23, 2016 122 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.

Controls (15)

← R••••• M•••• J••••••OwnerSHAREHOLDER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← H•••••• J•••••• J•••••OwnerSHAREHOLDER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← B••••• G••••••• A••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← M•••••• C••••• Z••OwnerVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← K••••• M•••••• B••••••OwnerVICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← S•••••• J•••• J•••••OwnerVICE PRESIDENT AND CHIEF LEGAL OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← B••••• L•••• D••••OwnerGENERAL PARTNER, ownership code F, individual
Mar 28, 2012 to presentfactForm ADV
← A•• H••••••• •••••••• L•••OwnerL•••••• PARTNER, ownership code E, foreign entity
Dec 20, 2012 to presentfactForm ADV
← A•• H••••••• G•• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Dec 20, 2012 to presentfactForm ADV
← A•• C••••OwnerL•••••• PARTNER, ownership code C, domestic entity
Mar 28, 2012 to presentfactForm ADV
← A••••• C••••••••• C•••••• M••••••••• G•• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 28, 2012 to presentfactForm ADV
← A••••• G••••• M••••••••• L••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← A••••• M••••••••• H••••••• G•• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 28, 2012 to presentfactForm ADV
← A••••• M••••••••• H•••••••• L•••OwnerSOLE MEMBER-M••••••, ownership code F, domestic entity
Mar 28, 2012 to presentfactForm ADV
← B•• H••••••• G•• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Mar 28, 2012 to presentfactForm ADV