DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S••••••• L•

CRD 325176

NEW YORK, NY

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Search this name across graphsid dfx:ria:4394142b-8553-cdd4-8788-22325505443c

Data as of Jun 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 13
On other graphs: 2
Observed: Oct 19, 2023 to Jun 12, 2026
8 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

••• Locked

Dated 2026-06-12 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

Advisor Recruiting IntelligenceJun 12, 2026 · seen 7 days ago

Across DFX

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

Private Equityidentity

S••••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

S••••••• 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=true related_bank=true bd_reps=0.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••• C•••••• D•••••• O••••••••• F••• I• L•••	Private Equity Fund	$395M	Apr 17, 2024	4	Jan 5, 2024	reported	021-498666
P•••••• A••••••••• L•	Private Equity Fund	$72.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• S•••• J•••	FOUNDING PARTNER	Na	yes	07/2022	Jan 5, 2024	Apr 17, 2024
G••••••••• L•••• ••••	GENERAL COUNSEL, PARTNER, CHIEF COMPLIANCE OFFICER	Na	yes	09/2022	Oct 19, 2023	Apr 17, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••• A••••••••• A••••••• L••	n/a	Institutional manager	$142B	N	yes	n/a
S••••••• C•••••• D•••••• O••••••••• F••• I• G•• L•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 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	$1.8B	$509M	261.6%	n/a	n/a	10	11	1	2

Relationships

Affiliated with (1)

→ N••••• A••••••••• A••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (3)

→ S••••••• C•••••• D•••••• O••••••••• F••• I• L•••Private fundPrivate Equity Fund, IA
Jan 5, 2024 to presentfactForm ADV
→ S••••••• C•••• S••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV

Dated events

Occurred
Jun 12, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$827M
Occurred
Mar 26, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$313M
Occurred
Jun 27, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$190M
Occurred
Jan 5, 2024
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4394142b-8553-cdd4-8788-22325505443c
First observed: Oct 19, 2023
Last observed: Jun 12, 2026 3 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.

Controls (15)

← B••••• S•••• J•••OwnerFOUNDING PARTNER, ownership code NA, individual
Jan 5, 2024 to Apr 17, 2024factForm ADV
← R•••• I•• R•••••• D•••••OwnerMEMBER, ownership code C, individual
Jan 5, 2024 to Apr 17, 2024factForm ADV
← M•••••••• J•• B••••• G•••••OwnerMEMBER, ownership code C, individual
Oct 19, 2023 to Apr 17, 2024factForm ADV
← P••••• J•••••• T•••••OwnerFOUNDING PARTNER, CHIEF OPERATING OFFICER, ownership code NA, individual
Jan 5, 2024 to Apr 17, 2024factForm ADV
← G••••••••• L•••• ••••OwnerGENERAL COUNSEL, PARTNER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 19, 2023 to Apr 17, 2024factForm ADV
← N••••• A••••••••• H•••••••• L••OwnerMEMBER, ownership code C, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← N••••• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← S•• P••••••• L••OwnerMEMBER, ownership code E, domestic entity
Oct 19, 2023 to Apr 17, 2024factForm ADV
← S••••••• G• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← S••••••• M••••••••• F••••• L•OwnerLIMITED PARTNER, ownership code E, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← S••••••• M••••••••• H••••••• L•OwnerLIMITED PARTNER, ownership code E, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← S••••••• S• M••••••••• H••••••• L•OwnerLIMITED PARTNER, ownership code E, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← T••••••• I•••••••• • A•••••• A••••••••• O• A••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← T••• B•••• O• G••••••••OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV
← T•••••••• A•••• M••••••••• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 5, 2024 to Apr 17, 2024factForm ADV