DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M•••••• L•••• A••••••••• I••••••••• L••

CRD 105067

NEW YORK, NY

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Search this name across graphsid dfx:ria:6a30324e-e839-f503-6156-1c0d330ae4c0

Data as of Mar 6, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 59
Dated events: 8
On other graphs: 4
Observed: Mar 29, 2012 to Mar 6, 2019
59 observations

Across DFX

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

Private Equityidentity

M•••••• L•••• A••••••••• I••••••••• L••

Private equity manager · shared crd

Venture Capitalidentity

M•••••• L•••• A••••••••• I••••••••• L••

Venture manager · shared crd

Private Creditidentity

M•••••• L•••• A••••••••• I••••••••• L••

Private credit manager · shared crd

Real Estate Fundsidentity

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: $93.3M••• Locked
Discretionary RAUM: $93.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 188
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B• P••••••• F••• V• B•••••• M••••• F••• L••	Private Equity Fund	$222M	Jan 14, 2016	313	Mar 29, 2012	dropped	n/a
B• P••••••• F••• V• B•••• L•	Private Equity Fund	$161M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
I••••••••• C•••••• N••••••• I•••	SOLE MEMBER	E	yes	03/2019	Mar 6, 2019	Mar 6, 2019
K•••••• B•••••• E••••	CHIEF FINANCIAL OFFICER	Na	yes	06/2006	Mar 29, 2012	Mar 6, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$93.3M	$117M	-20.2%	$3.2B	-69.3%	188	193	1	n/a

Relationships

Advises (53)

→ E•••••••• P•••••• E••••• D•••••• L• • B••••••••• C•••••• 2•••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ E•••••••• P•••••• E••••• D•••••• L• • B••• C•••••• 2•••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ E•••••••• P•••••• E••••• D•••••• L• • P••• G••••• 2•••Private fundPrivate Equity Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ E•••••••• P•••••• E••••• D•••••• L• • B••• C•••••• 2•••

Dated events

Occurred
Mar 6, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 6, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 6, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 1, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a30324e-e839-f503-6156-1c0d330ae4c0
First observed: Mar 29, 2012
Last observed: Mar 6, 2019 91 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.