DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

F••• A••••• M••••••• •••• L••

CRD 286195

NEW YORK, NY

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Search this name across graphsid dfx:ria:33849c89-633c-f1da-c03a-ec6eb5d440c0

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 14
On other graphs: 2
Observed: Mar 28, 2018 to Mar 30, 2026
19 observations

Across DFX

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

Private Equityidentity

F••• A••••• M••••••• •••• L••

Private equity manager · key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

F••• A••••• M••••••• •••• L••

Capital provider to sponsors · 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=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $994M••• Locked
Discretionary RAUM: $994M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 45

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F••• A••••• C•••••• P•••••••• L•••	Private Equity Fund	$201M	Mar 30, 2026	14	Apr 12, 2017	reported	021-283941
F••• A••••• C••••••••• P••••••• S•••	Private Equity Fund	$114M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• A••• J••••	EXECUTIVE OFFICER	Na	yes	04/2017	Mar 28, 2018	Mar 28, 2024
C••••••• J•••• M•••••	EXECUTIVE OFFICER	Na	yes	08/2023	Aug 3, 2023	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••• A••••• M••••••• N•••• A•••••• L••	n/a	Asset manager	$3.4B	N	yes	n/a
F••• G•••••• P••••••• L•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	7	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	$994M	$994M	0.0%	$784M	8.2%	45	42	1	1

Relationships

Affiliated with (5)

→ F••• A••••• M••••••• N•••• A•••••• L••Registered adviserother investment adviser, common control
factForm ADV
← F••• A••••• M••••••• N•••• A•••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← R••••••••• • C• G••••• M•••••• S•••••••• L••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← F•• S••Registered adviser

Dated events

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

Occurred
Mar 30, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$112M
Occurred
Mar 28, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33849c89-633c-f1da-c03a-ec6eb5d440c0
First observed: Mar 28, 2018
Last observed: Mar 30, 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.