DFX Intelligence

I••••• R••••••• • M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM over $100B

I••••• R••••••• • M•••••••••

CRD 104863

BOSTON, MA

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:51b96ff6-873f-3312-21d8-b2321142f4f7

Data as of Aug 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 16
On other graphs: 2
Observed: Nov 16, 2011 to Aug 24, 2026
45 observations

Across DFX

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

Independent Sponsorsidentity

I••••• R••••••• • M•••••••••

Capital provider to sponsors · shared crd

Private Creditidentity

I••••• R••••••• • M•••••••••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.04 fund_share=0.23 institutional_share=0.69 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $131B••• Locked
Discretionary RAUM: $130B
Private client RAUM: $5.1Bderived••• Locked
Private client share: 4%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 218

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I••• C••• B••• F••• I• L••	Other Private Fund	$3.6B	Nov 27, 2024	124	Mar 29, 2012	reported	021-139282
I••• I••••••••• F••• L••	Other Private Fund	$1.4B	Nov 27, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• B•••••• H•••••	DIRECTOR OF PRODUCT MANAGEMENT	Na	yes	01/2020	Mar 27, 2020	Nov 27, 2024
C••••••• M••••••• J•••	GENERAL COUNSEL, SECRETARY	Na	yes	01/2019	Jul 10, 2015	Nov 27, 2024

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	$131B	$109B	19.9%	$89B	13.7%	218	204	0	0

Relationships

Advises (16)

→ I••• S•••• E•• B••• F••• L••Private fundOther Private Fund, IA
Mar 27, 2020 to presentfactForm ADV
→ I••• I••••••••• T••••••• I••••••••• S••••••••• ••••• F••• L••Private fundOther Private Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ I••• T••••••••• C•••••••• B••• F••• L••Private fundOther Private Fund, IA
Mar 28, 2013 to presentfactForm ADV
→ I••• C••• E•• B••• F••• L••

Dated events

Occurred
Mar 28, 2024
Control person left
Austin William Omalley (Chief Executive Officer; Co-Chief Investment Officer; Trustee) no longer on Schedule A of I••••• R••••••• • M••••••••• (listed 2024-03-08, absent 2024-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Control person left
Thomas Kenneth Sommers (Trustee) no longer on Schedule A of I••••• R••••••• • M••••••••• (listed 2024-03-08, absent 2024-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Control person left
Charles Matthew Conroy (Director Of Corporate Initiatives) no longer on Schedule A of I••••• R••••••• • M••••••••• (listed 2024-03-08, absent 2024-03-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:51b96ff6-873f-3312-21d8-b2321142f4f7
First observed: Nov 16, 2011
Last observed: Aug 24, 2026 29 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.

Controls (20)

← S•••••• J••• J•••• A••••••OwnerTRUSTEE, ownership code F, individual
Nov 16, 2011 to Nov 27, 2024factForm ADV
← L•••••••• W••••••• T•••••••OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2023 to Nov 27, 2024factForm ADV
← M••••• M••••••• A••••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2024 to Nov 27, 2024factForm ADV
← O••••••• W••••••• A•••••OwnerCHIEF EXECUTIVE OFFICER, CO-CHIEF INVESTMENT OFFICER, DIRECTOR, ownership code B, individual
Nov 16, 2011 to Nov 27, 2024factForm ADV
← T•••••• D•••• D••••••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2022 to Nov 27, 2024factForm ADV
← S••••••• J•••• A••••••OwnerTRUSTEE, ownership code F, individual
Nov 16, 2011 to Nov 27, 2024factForm ADV
← K••••• R••••••• M•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 16, 2011 to Nov 27, 2024factForm ADV
← S••••••• K••••••• T•••••OwnerTRUSTEE, ownership code F, individual
Mar 29, 2012 to Nov 27, 2024factForm ADV
← S••••••• R•••••• F•••••••OwnerTRUSTEE, ownership code F, individual
Mar 29, 2012 to Nov 27, 2024factForm ADV
← D•••••••• M•••••• K••••OwnerCHIEF FINANCIAL OFFICER, CO-HEAD OF CLIENT TEAM, ownership code NA, individual
Mar 29, 2021 to Nov 27, 2024factForm ADV
← K•••• E••••• R•••••••OwnerCHIEF STRATEGY OFFICER; CO-HEAD OF CLIENT TEAM, ownership code NA, individual
Mar 28, 2024 to Nov 27, 2024factForm ADV
← T•••••• E••••••••• G•••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2022 to Nov 27, 2024factForm ADV
← C••••••• M••••••• J•••OwnerGENERAL COUNSEL, SECRETARY, ownership code NA, individual
Jul 10, 2015 to Nov 27, 2024factForm ADV
← G•••••••• J••••• E•••••OwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 10, 2015 to Nov 27, 2024factForm ADV
← K••••••••• S••••• M•••••OwnerCHIEF OF STAFF, ownership code NA, individual
Jul 10, 2015 to Nov 27, 2024factForm ADV
← A•••••••• B•••••• H•••••OwnerDIRECTOR OF PRODUCT MANAGEMENT, ownership code NA, individual
Mar 27, 2020 to Nov 27, 2024factForm ADV
← D•••••••• M••••••• A••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2021 to Nov 27, 2024factForm ADV
← G••••••••• D••••••• H•••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2022 to Nov 27, 2024factForm ADV
← J••• A• S••••••• J•• F••••• T•••• D•• 0•••••••••OwnerOWNER, ownership code A, domestic entity
Mar 29, 2012 to Nov 27, 2024factForm ADV
← J••• A• S••••••• J•• R•••••••• T•••• O• 1•••OwnerOWNER, ownership code C, domestic entity
Nov 16, 2011 to Nov 27, 2024factForm ADV