DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S•••• R•••• A•••• M••••••••• L••

CRD 165598

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:33398b4d-04d1-7e57-41ed-eb34fa234d1c

Data as of Aug 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 50
Dated events: 39
On other graphs: 3
Observed: Oct 2, 2012 to Aug 24, 2026
37 observations

Across DFX

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

Private Equityidentity

S•••• R•••• A•••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S•••• R•••• A•••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

S•••• R•••• A•••• M••••••••• L••

Private credit manager · 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=0.66 institutional_share=0.33 related_bd=true related_bank=false bd_reps=20.0
Regulatory AUM: $36B••• Locked
Discretionary RAUM: $29B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 238

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• R•••• O••••••••• F••• L•	Hedge Fund	$2.3B	Aug 24, 2026	225	Aug 29, 2023	reported	021-470684
S•••• R•••• A••••••••• M••••• L•	Hedge Fund	$2.0B	Aug 24, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• R•••• L•	CHIEF EXECUTIVE OFFICER	Na	yes	09/2012	Oct 2, 2012	Jun 28, 2024
S••••••• R•••• L•••••••	LIMITED PARTNER	D	yes	12/2017	Oct 2, 2012	Jun 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••• R•••••••• C••••• F••• I• ••• L••	n/a	n/a	n/a	Y	yes	n/a
E•••• L••	n/a	n/a	n/a	Y	yes	n/a
E••••• A••••••••• F••• G• L••	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$36B	$27B	32.8%	$22B	18.9%	238	140	1	0

Relationships

Advises (42)

→ L••••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ L••••••• F••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Aug 24, 2026 to presentfactForm ADV
→ S•••• R•••• O••• F••• L•Private fundHedge Fund, IA
Aug 24, 2026 to presentfactForm ADV
→ S•••• R•••• B•••••••• C•••••••• L•

Dated events

Occurred
Aug 24, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-2.8B
Occurred
Aug 24, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 24, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Aug 24, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33398b4d-04d1-7e57-41ed-eb34fa234d1c
First observed: Oct 2, 2012
Last observed: Aug 24, 2026 30 days 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.