DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

R•••• C•••••• L••

CRD 157939

NEW YORK, NY

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:6211c169-291c-b96e-f4d2-c6c486101cec

Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 12
On other graphs: 3
Observed: Feb 14, 2012 to May 5, 2026
41 observations

Across DFX

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

Private Equityidentity

R•••• C•••••• L••

Private equity manager · cited, key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

R•••• C•••••• L••

Capital provider to sponsors · cited, key crd, key sfn adviser, shared crd

Allocatorsidentity

R•••• C•••••• L••

Manager with allocator commitments · cited, key crd, key sfn adviser, 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=0.99 institutional_share=0.0 related_bd=true related_bank=true bd_reps=92.0
Regulatory AUM: $2.8B••• Locked
Discretionary RAUM: $2.7B
Private client RAUM: $3.5Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 183

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••• P••••••• I• L•	Private Equity Fund	$898M	May 5, 2026	124	Mar 30, 2023	reported	021-1906625
R•••• P••••••• I•• L•	Private Equity Fund	$763M	May 5, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• J•••••• A••••••	C•••• F•••••••• O•••••• • M••••••••• C••••••	Na	yes	01/2019	Jun 25, 2020	May 3, 2024
C•••••••• A•••••• J•••••	VICE PRESIDENT, CHIEF OPERATING OFFICER	Na	yes	01/2024	Mar 28, 2022	May 3, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••• A••••••• ••••••••	n/a	n/a	n/a	N	yes	n/a
R•••• A••••••• H••• K••• L••••••	n/a	n/a	n/a	N	yes	n/a
R•••• A••••••• I•••• P•••••• L••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	9	yes
London	n/a	United Kingdom	9	yes
Mumbai	n/a	India	8	yes
SANTA MONICA	CA	United States	6	yes
Central	n/a

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	$2.8B	$3.1B	-11.1%	$3.8B	-10.3%	183	199	7	8

Relationships

Advises (53)

→ R•••• M• C•••••••• 2• L••Private fundPrivate Equity Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ R•••• P••••••• I• ••••••• • A•• 1• L•Private fundPrivate Equity Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ R•••• P••••••• I•• • A•• 2• L•Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ R•••• P••••••• I• • A•• 1• L•

Dated events

Occurred
May 5, 2026
P•••••• fund first reported
••• Locked
Form ADVobserved today
$6.3M
Occurred
May 5, 2026
P•••••• fund first reported
••• Locked
Form ADVobserved today
$9.2M
Occurred
May 5, 2026
P•••••• fund first reported
••• Locked
Form ADVobserved today
$30.3M
Occurred
May 5, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6211c169-291c-b96e-f4d2-c6c486101cec
First observed: Feb 14, 2012
Last observed: May 5, 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.