DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A••••••• A••••••••• A••••••• L••

CRD 291989

NEW YORK, NY

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Search this name across graphsid dfx:ria:6308474d-f2bf-be9c-2de6-baa6635dec77

Data as of Mar 31, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 3
On other graphs: 3
Observed: Jan 29, 2018 to Mar 31, 2020
8 observations

Across DFX

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

Private Equityidentity

A••••••• A••••••••• A••••••• L••

Private equity manager · shared crd

Venture Capitalidentity

A••••••• A••••••••• A••••••• L••

Venture manager · shared crd

Real Estate Fundsidentity

A••••••• A••••••••• A••••••• L••

Real estate fund manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $561M••• Locked
Discretionary RAUM: $508M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••••• B••••••••• R••• E••••• P••••••• I• F••••• F••• L•	Real Estate Fund	$179M	Mar 31, 2020	237	Mar 31, 2020	reported	021-342045
A•••••• K•• G••••• I••••••••• I•••••••• I•• O•••••• F••••• F•••• L•••	Private Equity Fund	$102M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• L•••••• H••••••• L••	Shareholder	C	yes	06/2018	Jun 29, 2018	Mar 31, 2020
A•••• L•••••• M••••••••• I• I•••	EQUITY OWNER	E	yes	06/2018	Jul 13, 2018	Mar 31, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• A•••••••• L••	n/a	Former SEC adviser	$150M	N	yes	n/a
A••••••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 31, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$561M	$200M	179.8%	n/a	n/a	0	0	0	0

Relationships

Affiliated with (2)

← M•••• F•••••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV
→ A••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (9)

→ V•• 2••• L•••Private fundVenture Capital Fund, IA
Mar 31, 2020 to presentfactForm ADV
→ S••• P••• M••••••••• O•••••• F••• L•

Dated events

Occurred
Mar 31, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$360M
Occurred
Mar 31, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6308474d-f2bf-be9c-2de6-baa6635dec77
First observed: Jan 29, 2018
Last observed: Mar 31, 2020 78 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.