DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

7•• C••••••• L••

CRD 164742

NEW YORK, NY

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Search this name across graphsid dfx:ria:52750f1c-83de-b41d-1250-69bc54714305

Data as of Jul 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 2
On other graphs: 2
Observed: Jan 16, 2014 to Jul 24, 2026
20 observations

Across DFX

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

Private Equityidentity

7•• C••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

7•• C••••••• 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=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
7•• N••••••• L•••	Private Equity Fund	$154M	Mar 8, 2024	1	Mar 12, 2015	reported	n/a
7•• S••••••••• V• P••••••• F•••• L•••	Private Equity Fund	$125M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• H•••••• S•••	Shareholder	D	yes	05/2008	Jan 16, 2014	Mar 8, 2024
D•• K•••••••• M•••• J•••••• M•••••••	MANAGING MEMBER	C	yes	06/2001	Jan 16, 2014	Mar 8, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$1.1B	$1.1B	4.9%	$837M	10.7%	13	13	0	0

Relationships

Advises (31)

→ 7•• H••••• I• P••••••• F•••• L•Private fundPrivate Equity Fund, IA
Mar 26, 2015 to presentfactForm ADV
→ 7•• S••••••••• V• P••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Feb 15, 2018 to presentfactForm ADV
→ 7•• S••••••••• V•• L•••Private fundPrivate Equity Fund, IA
Feb 15, 2018 to presentfactForm ADV
→ 7•• H••••• V• P••••••• F•••• L•••

Dated events

Occurred
Feb 22, 2019
Regulatory AUM changed
7•• C••••••• L•• reported RAUM $485.7M, up 43% from $339.1M (2018-02-15 to 2019-02-22)
Form ADVobserved 7 days ago
$147M
Occurred
Jan 16, 2014
First Form ADV filing
7•• C••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:52750f1c-83de-b41d-1250-69bc54714305
First observed: Jan 16, 2014
Last observed: Jul 24, 2026 2 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.