DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 10b 100b

L••••• L•••••••• C•••••• P•••••••• L••

CRD 140980

BEVERLY HILLS, CA

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Search this name across graphs

Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 87
Dated events: 37
On other graphs: 4
Observed: Apr 2, 2012 to Jul 17, 2026
45 observations

Across DFX

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

Private Equityidentity

L••••• L•••••••• C•••••• P•••••••• L••

Private equity manager · cited, key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

L••••• L•••••••• C•••••• P•••••••• L••

Capital provider to sponsors · cited, key_crd, key_sfn_adviser, shared_crd

Allocatorsidentity

L••••• L•••••••• C•••••• P•••••••

Manager with allocator commitments · cited, key_crd, key_sfn_adviser, shared_crd

Private Credit

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: $12B••• Locked
Discretionary RAUM: $12B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 73

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••• L•••••••• C•••••• P••••••• V•• L•••	Private Equity Fund	$1.4B	Jul 17, 2026	99	Mar 29, 2018	reported	021-286776
L••• L•••• M••••• M••••• F••• I••• L•••	Private Equity Fund	$1.1B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• S••••••• J••••	PRESIDENT/CO-CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER	Na	yes	08/1996	Apr 2, 2012	Nov 7, 2024
K••• J•••• H•	CHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL	Na	yes	04/2023	Aug 8, 2023	Nov 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••• L•••••••• S•••••••• C••••••• L••	n/a	Other adviser	$1.5B	N	yes	n/a
L••• C••••••••• G•• L•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	9	no
Miami	FL	United States	3	no
NEW YORK	NY	United States	3	no
Chicago	IL	United States	1	no
DEN HAAG	n/a

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	$12B	$11B	9.2%	$9.3B	8.4%	73	65	7	7

Relationships

showing 80 of 87

Affiliated with (2)

→ L••••• L•••••••• S•••••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← L••••• L•••••••• S•••••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (66)

→ L••••• L•••••••• C•••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Apr 2, 2012 to presentfactForm ADV

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
17 Jul 2026
Private fund first reported9 events
Private fund first reported: 9 on 17 Jul 2026
$9.2M to $543M
- ••• Locked$543M
- ••• Locked$56.1M
- ••• Locked$34.8M
Occurred
17 Jul 2026
Private fund gav change6 events
Private fund gav change: 6 on 17 Jul 2026
down $102M to up $625M
- ••• Locked$625M
- ••• Lockeddown $401M
- ••• Locked$388M
Occurred
17 Jul 2026
Ria principal change2 events
L••••• L•••••••• C•••••• P•••••••• L••: ria principal change, 2 events, on 17 Jul 2026
- ••• Locked
- ••• Locked
Occurred
17 Jul 2026
Ria office opened
••• Locked
Form ADV
Occurred
17 Jul 2026
Ria office closed3 events
L••••• L•••••••• C•••••• P•••••••• L••: ria office closed, 3 events, on 17 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 2, 2012
Last observed: Jul 17, 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.

All 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••• L•••••••• C•••••• P••••••• V••• A••• L•••	Private Equity Fund	$245M	Jul 17, 2026	81	Mar 29, 2019	reported	n/a
U•••••• C•••••••• C•• L•••	Other Private Fund	$166M	Jul 17, 2026	1	Mar 30, 2023	reported	n/a
C••• C•••••••• U•••••••• L••	Other Private Fund	$130M	Jul 17, 2026	13	Mar 30, 2023	reported	n/a
C••• C•••••••• B•••••• L••	Other Private Fund	$84.1M	Jul 17, 2026	5	Mar 30, 2023	reported	n/a
I•• C•••••••• L•	Other Private Fund	$75.1M	Jul 17, 2026	7	Mar 30, 2023	reported	n/a
S••• P•••••••• L•••	Private Equity Fund	$56.1M	Jul 17, 2026	3	Jul 17, 2026	reported	n/a
L••••• L•••••••• C•••••• P••••••• V• L•••	Private Equity Fund	$52.8M	Jul 17, 2026	61	Mar 27, 2013	reported	021-193827
S•• C•••••••• H••••••• L•	Other Private Fund	$34.8M	Jul 17, 2026	3	Jul 17, 2026	reported	n/a
L••• E••••• I•• A••••••••• F••• S•••	Private Equity Fund	$32.4M	Jul 17, 2026	5	Jul 17, 2026	reported	n/a
L•• C•••••••• E•••••••• L••	Other Private Fund	$23.6M	Jul 17, 2026	8	Mar 30, 2023	reported	n/a
S••••••••• C•••••••• L•••	Other Private Fund	$22.8M	Jul 17, 2026	2	Jul 17, 2026	reported	n/a
V••••• C••••••••• L•••	Other Private Fund	$21.6M	Jul 17, 2026	1	Jul 17, 2026	reported	n/a
L••••• L•••••••• C•••••• P••••••• V• I••••••••• F•••• L•••	Private Equity Fund	$12.3M	Jul 17, 2026	24	Mar 31, 2014	reported	n/a
S••• E••••• I•• A••••••••• F••• S•••	Private Equity Fund	$10.5M	Jul 17, 2026	2	Jul 17, 2026	reported	n/a
E•••• C•••••••• L•	Other Private Fund	$9.2M	Jul 17, 2026	1	Jul 17, 2026	reported	n/a

All 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• H•••••• C••••••• L•	Member	E	yes	09/2018	Oct 12, 2018	Nov 7, 2024
M•••• D•••• M••••••••• G•• L••	GENERAL PARTNER	F	yes	09/2018	Oct 12, 2018	Nov 7, 2024
M•••• D•••• M••••••••• G•• L••	GENERAL PARTNER	F	yes	09/2018	Oct 12, 2018	Nov 7, 2024
M•••• D•••• M••••••••• H•••••••• I•••	LIMITED PARTNER	D	yes	09/2018	Oct 12, 2018	Nov 7, 2024
M•••• D•••• M••••••••• L•	LIMITED PARTNER	E	yes	09/2018	Oct 12, 2018	Nov 7, 2024
W•••••• D••••• I••••	GENERAL COUNSEL/CO-CHIEF OPERATING OFFICER/VICE PRESIDENT	Na	yes	03/2015	Mar 31, 2015	Nov 7, 2024

All 25 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••• N••••••••• B•••	n/a	n/a	n/a	Y	yes	n/a
L••• P••••••• E••••• I• G•• L•••	n/a	n/a	n/a	N	yes	n/a
L••• P••••••• E••••• I• G•• S•• R•••	n/a	n/a	n/a	Y	yes	n/a
L••• P••••••• I• G•• L••	n/a	n/a	n/a	N	yes	n/a
L••• P••••••• V• G•• L••	n/a	n/a	n/a	N	yes	n/a
L••• P••••••• V• G•• L•••	n/a	n/a	n/a	N	yes	n/a
L••• P••••••• V•• G•• L•••	n/a	n/a	n/a	N	yes	n/a
L••• P•• G•• L••	n/a	n/a	n/a	N	yes	n/a
L••• S•••• B••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
L••• S••••• A•	n/a	n/a	n/a	Y	yes	n/a
L••• V• P••••••••• H••••• L••	n/a	n/a	n/a	N	yes	n/a
L••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
P•••• C••••• G• L•••	n/a	n/a	n/a	N	yes	n/a
S•• C••••• L•••	n/a	n/a	n/a	N	yes	n/a
U•••••• C••••• G• L•••	n/a	n/a	n/a	N	yes	n/a

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$3.7B	$3.7B	56	37	n/a	17	$3.7B
2014	Mar 31, 2015	$3.8B	$3.8B	49	30	n/a	16	$3.7B
2013	Mar 31, 2014	$3.8B	$3.8B	52	36	n/a	14	$1.9B
2012	Mar 27, 2013	$2.7B	$2.7B	56	38	n/a	13	$2.0B
2011	Apr 2, 2012	$2.4B	$2.4B	n/a	n/a	n/a	11	$1.5B