DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 10b 100b

C•••••••• I••••••••• G•••• L••

CRD 147417

NEW YORK, NY

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Search this name across graphsid dfx:ria:3917c49c-9abc-b6c1-0b4f-52b9f5f36549

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 49
Dated events: 5
On other graphs: 4
Observed: Mar 29, 2012 to Sep 18, 2026
33 observations

Across DFX

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

Venture Capitalidentity

C•••••••• I••••••••• G•••• L••

Venture manager · shared crd

Independent Sponsorsidentity

C•••••••• I••••••••• G•••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

C•••••••• I••••••••• G•••• L••

Private equity manager · shared crd

Private Creditidentity

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.28 fund_share=0.63 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $19B••• Locked
Discretionary RAUM: $14B
Private client RAUM: $5.3Bderived••• Locked
Private client share: 28%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $19Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N•••••• M•••••• F•••••	n/a	Boise, ID	0	13	1	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•• D••••• S••••••••• S•• L•	Venture Capital Fund	$2.8B	Apr 30, 2026	6	Mar 31, 2023	reported	021-458670
C•• D••••• S••••••••• I••• L•• • S••••• 1•	Venture Capital Fund	$1.6B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A••••••••• I•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2025	Apr 30, 2026	Apr 30, 2026
B•••••••• M•••• P••••••	Member	Na	yes	03/2025	Apr 30, 2026	Apr 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• A•••••••• L••	n/a	n/a	n/a	Y	yes	n/a
C•••••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
C••••••••• P•••••••• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	8	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

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	$19B	$12B	51.2%	$8.7B	29.3%	46	41	2	1

Relationships

Affiliated with (2)

← M••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor
factForm ADV
← V•••• I••••••••• S••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV

Advises (36)

→ T••• D••••• S••••••••• L•• • S••••• 4•Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$6.4B
Occurred
Apr 29, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$3.1B
Occurred
Oct 6, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3917c49c-9abc-b6c1-0b4f-52b9f5f36549
First observed: Mar 29, 2012
Last observed: Sep 18, 2026 5 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.