DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S•••••••• C•••••• M••••••••• L•

CRD 317009

STAMFORD, CT

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Search this name across graphsid dfx:ria:380a32a3-86b9-0add-57a6-09e05aa6927e

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 8
On other graphs: 2
Observed: Sep 30, 2021 to Mar 30, 2026
14 observations

Across DFX

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

Private Equityidentity

S•••••••• C•••••• M••••••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

S•••••••• C•••••• M••••••••• 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=true bd_reps=0.0
Regulatory AUM: $4.6B••• Locked
Discretionary RAUM: $4.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 29

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• C•••••• I••••••••• F••• I•• L•	Private Equity Fund	$135M	Nov 25, 2024	37	Mar 31, 2023	reported	021-447208
S•••••••• C•••••• I••••••••• F••• I• L•	Private Equity Fund	$50.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• S••••••• N••	CHIEF FINANCIAL OFFICER	Na	yes	01/2024	Mar 26, 2024	Nov 25, 2024
C•••• L••••• G•••••• G•	MEMBER/MANAGER	F	yes	06/2023	Sep 30, 2021	Nov 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• C•••••• H••••••• G• L••	n/a	n/a	n/a	Y	yes	n/a
S•••••••• C•••••• H••••••• L•	n/a	n/a	n/a	N	yes	n/a
S•••••••• C•••••• U• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	5	no
Houston	TX	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

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	$4.6B	$2.4B	87.1%	$1.5B	44.2%	29	24	3	2

Relationships

Advises (9)

→ S•••••••• C•••••• I••••••••• F••• C••••••••• I•• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ S•••••••• C•••••• I••••••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ S•••••••• C•••••• I••••••••• F••• C••••••••• I•• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ S•••••••• N•• C•••••••• L•

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$2.1B
Occurred
Nov 25, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 26, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$622M
Occurred
Mar 26, 2024
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:380a32a3-86b9-0add-57a6-09e05aa6927e
First observed: Sep 30, 2021
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.