DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

D•• A•••••••• L•

CRD 157074

NEW YORK, NY

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Search this name across graphsid dfx:ria:4a83e6d1-0b6f-935b-55e0-41a9098ddc47

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 8
On other graphs: 0
Observed: Dec 5, 2011 to May 1, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $907M••• Locked
Discretionary RAUM: $907M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• I••••••••• L•	Hedge Fund	$563M	Mar 29, 2024	3	Mar 30, 2019	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• B••••••• C•••••••••	CHIEF FINANCIAL OFFICER	Na	yes	02/2019	Mar 30, 2019	Mar 29, 2024
D•• A••••••• G•• L••	GENERAL PARTNER	Na	yes	04/2004	Dec 5, 2011	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•• C•••••• M••••••••• L•	n/a	Asset manager	$4.8B	N	yes	n/a
G••••••••• M••••••• L••	n/a	Asset manager	$1.3B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Relationships

Affiliated with (5)

→ D•• C•••••• M••••••••• L•Registered adviserother investment adviser, bank, common control
factForm ADV
→ G••••••••• M••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← D•• C•••••• M••••••••• L•Registered adviserother investment adviser, bank, common control
factForm ADV
← G••••••••• M••••••• L••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Mar 31, 2025
Regulatory AUM changed
D•• A•••••••• L• reported RAUM $749.4M, up 33% from $563.0M (2024-03-29 to 2025-03-31)
Form ADVobserved 7 days ago
$186M
Occurred
Mar 29, 2024
Regulatory AUM changed
D•• A•••••••• L• reported RAUM $563.0M, up 30% from $432.2M (2023-10-31 to 2024-03-29)
Form ADVobserved 7 days ago
$131M
Occurred
Sep 13, 2021
Control person left
Vinit Sethi (Vice President And Director Of Research) no longer on Schedule A of D•• A•••••••• L• (listed 2021-03-31, absent 2021-09-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a83e6d1-0b6f-935b-55e0-41a9098ddc47
First observed: Dec 5, 2011
Last observed: May 1, 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.