DFX Intelligence

S••••• C•••• I••••••••• 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•••• I••••••••• M••••••••• L••

CRD 170209

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:3adca3a3-d7cd-f58e-0c1a-73c60299f299

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 6
On other graphs: 3
Observed: Jan 23, 2014 to Mar 24, 2026
21 observations

Across DFX

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

Private Equityidentity

S••••• C•••• I••••••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S••••• C•••• I••••••••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

S••••• C•••• I••••••••• 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=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• C•••• C•• 2•••••• L•••	Securitized Asset Fund	$397M	Mar 12, 2024	2	Mar 30, 2019	reported	n/a
S••••• C•••• C•• 2•••••• L•••	Securitized Asset Fund	$396M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• G••••• P••••••	CHIEF INVESTMENT OFFICER	Na	yes	11/2013	Jan 23, 2014	Mar 12, 2024
M•• M•••••• L••	GENERAL PARTNER	F	yes	01/2019	Jan 2, 2019	Mar 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• F•••••••• P••••••• L••	n/a	ASSET_M••••••	$4.1B	N	yes	n/a
A•••••• C•••••• P••••••• I•• L•••••	n/a	ASSET_M••••••	$528M	N	yes	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	$1.7B	$2.4B	-26.5%	$3.3B	-19.4%	12	14	0	0

Relationships

Affiliated with (8)

← M••••• C•••••• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← C•••••••• V•••••• P•••••••Registered adviserother investment adviser
factForm ADV
← A•••••• C•••••• P••••••• I•• L•••••Registered adviserother investment adviser, common control
factForm ADV
← F••••••• F•••••••• P••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 24, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-628M
Occurred
Apr 30, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-802M
Occurred
Mar 27, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2019
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3adca3a3-d7cd-f58e-0c1a-73c60299f299
First observed: Jan 23, 2014
Last observed: Mar 24, 2026 6 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.