DFX Intelligence

O••••• B••••• M••••••••• 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

O••••• B••••• M••••••••• L••

CRD 281922

GREENWICH, CT

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Search this name across graphsid dfx:ria:6651a173-3de1-073c-d3b0-5d8f97ea070e

Data as of Sep 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 1
Observed: Oct 23, 2015 to Sep 30, 2021
15 observations

Across DFX

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

Private Equityidentity

O••••• B••••• M••••••••• L••

Private equity 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: $335M••• Locked
Discretionary RAUM: $335M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••••• B•••••• L••	Private Equity Fund	$71.8M	Sep 30, 2021	7	Oct 23, 2015	reported	021-251969
O••••• G•••• L••	Hedge Fund	$0	Apr 24, 2018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• J•••••••• H•••••	MANAGING MEMBER	D	yes	06/2010	Oct 23, 2015	Sep 30, 2021
C••••• J•••••••• H•••••	Ceo	Na	yes	10/2015	Oct 23, 2015	Sep 30, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••• L••• M••••••••• L••	n/a	Asset manager	$2.3B	N	yes	n/a
O••••• S••••• M••••••••• L••	n/a	Asset manager	$307M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 31, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$335M	$342M	-2.2%	$390M	-5.0%	22	21	0	0

Relationships

Affiliated with (2)

→ O••••• S••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ O••••• L••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ O••••• B•••••• L••Private fundPrivate Equity Fund, IA
Oct 23, 2015 to presentfactForm ADV
→ O••••• G•••• L••

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$105M
Occurred
Oct 23, 2015
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6651a173-3de1-073c-d3b0-5d8f97ea070e
First observed: Oct 23, 2015
Last observed: Sep 30, 2021 60 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.