DFX Intelligence

G•••• R••• E••••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

G•••• R••• E••••• C•••••• M••••••••• I•••

CRD 175339

NEW YORK, NY

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Search this name across graphsid dfx:ria:6b6e12eb-8c12-749b-b1b8-c18472525c84

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 5
Observed: Mar 31, 2015 to Mar 28, 2024
10 observations

Across DFX

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

Venture Capitalidentity

G•••• R••• E••••• C•••••• M••••••••• I•••

Venture manager · shared crd

Independent Sponsorsidentity

G•••• R••• E••••• C•••••• M••••••••• I•••

Capital provider to sponsors · shared crd

Private Equityidentity

G•••• R••• E••••• C•••••• M••••••••• I•••

Private equity manager · shared crd

Private Creditidentity

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: $108M••• Locked
Discretionary RAUM: $108M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••• L•••••• S•• I• L•	R••• E••••• Fund	$147M	Mar 25, 2016	57	Jul 31, 2015	dropped	021-245851
G•••• O••••••••• V• L•	Private Equity Fund	$103M	Mar 28, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••• J•••••••• G••••••	PRESIDENT/DIRECTOR/SECRETARY/CHIEF COMPLIANCE OFFICER	E	yes	12/2014	Mar 31, 2015	Mar 28, 2024
K••••••• N• R••••••• N••	CHIEF EXECUTIVE OFFICER	B	yes	12/2014	Jul 31, 2015	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••• O••••••••• V• G• L••	n/a	n/a	n/a	N	yes	n/a
G•• L•••••• O••••••••• L••	n/a	n/a	n/a	N	yes	n/a
G•• L••• M•••••• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$108M	$153M	-29.3%	$190M	-17.1%	5	5	0	0

Relationships

Advises (6)

→ G•••• O••••••••• V• L•Private fundPrivate Equity Fund, IA
Mar 23, 2022 to presentfactForm ADV
→ G•••• L•••••• H••••• L••Private fundR••• E••••• Fund, IA
Mar 25, 2020 to presentfactForm ADV
→ G•••• L•••••• O••••••••• L•Private fundR••• E••••• Fund, ERA, no longer reported
Mar 25, 2016 to Feb 19, 2019factForm ADV
→ G•••• L•••••• O••••••••• ••••••• L•

Dated events

Occurred
May 2, 2025
Left the SEC roster
G•••• R••• E••••• C•••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $108.5M)
Form ADVobserved 7 days ago
$108M
Occurred
Mar 31, 2015
First Form ADV filing
G•••• R••• E••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6b6e12eb-8c12-749b-b1b8-c18472525c84
First observed: Mar 31, 2015
Last observed: Mar 28, 2024 30 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.