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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

A•• A•••••• L•

CRD 173866

NEW YORK, NY

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Search this name across graphsid dfx:ria:3459cc70-1961-561e-5585-7dd14be003e0

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 5
On other graphs: 2
Observed: Dec 12, 2014 to Mar 31, 2026
29 observations

Across DFX

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

Private Equityidentity

A•• A•••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

A•• A•••••• L•

Capital provider to sponsors · 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=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.6BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.6B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
A••••••s on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••••• T••••••••• A•• L•••••••• F••• I• L•	Private Equity Fund	$505M	Oct 16, 2024	31	Mar 30, 2018	reported	021-306895
A•• I• R••• I• A•• L•	Private Equity Fund	$216M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• U•• L••	MANAGING MEMBER	E	yes	03/2018	Mar 30, 2018	Oct 16, 2024
B••••••• J•••••• M•••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2024	Oct 16, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• I• A••••••••• L••	n/a	n/a	n/a	N	yes	n/a
A•• I• R••• I• A•• G• L•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 12 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	A••••••y staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.6B	$1.7B	-7.2%	$1.4B	4.5%	13	13	0	0

Relationships

Advises (8)

→ A••••••••• T••••••••• A•• L•••••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 30, 2018 to presentfactForm ADV
→ A•• I• A••••• C•••••••• L•Private fundPrivate Equity Fund, IA
Dec 21, 2021 to presentfactForm ADV
→ A•• I• A••••• C••••••••• L•Private fundPrivate Equity Fund, IA
Dec 21, 2021 to presentfactForm ADV
→ A•• I• V•••••• C•••••••• L•

Dated events

Occurred
Oct 16, 2024
Control person joined
Marion Jaclyn Bowdren (Chief Compliance Officer) appeared on Schedule A of A•• A•••••• L•
Form ADVobserved 6 days ago
Occurred
Oct 16, 2024
Control person left
Cornell Victoria Stearns (Chief Compliance Officer) no longer on Schedule A of A•• A•••••• L• (listed 2024-07-19, absent 2024-10-16)
Form ADVobserved 6 days ago
Occurred
Jul 19, 2024
Control person joined
Cornell Victoria Stearns (Chief Compliance Officer) appeared on Schedule A of A•• A•••••• L•
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3459cc70-1961-561e-5585-7dd14be003e0
First observed: Dec 12, 2014
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.