DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

O•••• R••••••• P••••••• ••••• L•

CRD 161327

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3b807df1-8249-9f3b-116f-ec009a201129

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 4
On other graphs: 3
Observed: Feb 14, 2012 to May 14, 2026
43 observations

Across DFX

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

Venture Capitalidentity

O•••• R••••••• P••••••• ••••• L•

Venture manager · shared crd

Independent Sponsorsidentity

O•••• R••••••• P••••••• ••••• L•

Capital provider to sponsors · shared crd

Private Equityidentity

O•••• R••••••• P••••••• ••••• L•

Private equity 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=false related_bank=true bd_reps=0.0
Regulatory AUM: $7.9BItem 5.F on the latest filing (2026-05-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors 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
O•••• M••• F•••••• F••• I•• L•	Private Equity Fund	$2.4B	Mar 28, 2024	69	Sep 6, 2019	reported	021-348208
O•••• M••• F•••••• F••• I• L•	Private Equity Fund	$1.8B

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
F•••••• J••••••• S••••	CHIEF FINANCIAL OFFICER	Na	yes	07/2017	Mar 30, 2018	Mar 28, 2024
G••••••• R••••••• A•••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2015	Nov 5, 2015

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
O•••• C••••••••• M••••••••• L•	n/a	n/a	n/a	Y	yes	n/a
O•••• R••••••• P••••••• •••• P•• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Littleton	Co	United States	4	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory 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	$7.9B	$7.5B	6.0%	$6.9B	4.9%	59	55	2	1

Relationships

Advises (23)

→ O•••• M••• F•••••• C•••••• I• L•Private fundPrivate Equity Fund, IA
Oct 17, 2023 to presentfactForm ADV
→ O•••• M••• F•••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ O•••• M••• F•••••• ••••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ O•••• M••• F•••••• ••••••• F••• I• L•

Dated events

Occurred
Jan 29, 2024
Control person left
Limor Nissan (Chief Operating Officer) no longer on Schedule A of O•••• R••••••• P••••••• ••••• L• (listed 2023-10-17, absent 2024-01-29)
Form ADVobserved 6 days ago
Occurred
Jun 10, 2022
Control person joined
Mary O Eleanor Lewnowski (Trustee) appeared on Schedule A of O•••• R••••••• P••••••• ••••• L•
Form ADVobserved 6 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
O•••• R••••••• P••••••• ••••• L• reported RAUM $7.0B, up 44% from $4.9B (2021-11-18 to 2022-03-30)
Form ADVobserved 6 days ago
$2.1B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b807df1-8249-9f3b-116f-ec009a201129
First observed: Feb 14, 2012
Last observed: May 14, 2026 4 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.

2025	Mar 31, 2026	$7.9B	$7.3B	59	18	2	14	n/a
2024	Mar 28, 2025	$7.5B	$6.9B	55	22	1	13	n/a
2023	Mar 28, 2024	$7.4B	$7.4B	56	18	1	13	$7.3B
2022	Mar 31, 2023	$6.9B	$6.9B	51	15	1	10	$6.9B
2021	Mar 30, 2022	$7.0B	$7.0B	45	12	1	9	$7.0B
2020	Mar 31, 2021	$4.9B	$4.9B	41	16	1	12	$4.9B
2019	Mar 27, 2020	$4.7B	$4.7B	43	17	1	12	$4.6B
2018	Mar 29, 2019	$5.0B	$5.0B	39	15	1	12	$4.3B
2017	Mar 30, 2018	$4.1B	$4.1B	34	14	1	13	$3.9B
2016	Mar 30, 2017	$3.1B	$3.1B	21	7	n/a	11	$3.4B
2015	Mar 30, 2016	$1.9B	$1.9B	29	15	n/a	11	$2.2B
2014	Mar 31, 2015	$1.9B	$1.9B	18	7	n/a	5	$1.9B
2013	Mar 31, 2014	$1.4B	$1.4B	13	6	n/a	2	$1.4B
2012	Apr 1, 2013	$1.7B	$1.7B	15	6	n/a	2	$1.7B