DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M•••••••• I••••••••• A•• R••• A••••• I•••

CRD 146690

NEW YORK, NY

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Search this name across graphsid dfx:ria:6d3ec120-03a5-663b-7dc4-7e49750a3cc5

Data as of Aug 6, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 1
Observed: Dec 20, 2011 to Aug 6, 2014
9 observations

Across DFX

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

Private Equityidentity

M•••••••• I••••••••• a•• R••• A••••• I•••

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: $3.9B••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 85
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• W••••••• E•••••	CHIEF OPERATING OFFICER	Na	yes	12/2013	Feb 12, 2014	Aug 6, 2014
G•••••• C•••••	CHIEF EXECUTIVE OFFICER	Na	yes	12/2013	Feb 12, 2014	Aug 6, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••••• I••••••••• P••••••• I•••	n/a	Asset manager	$49B	Y	yes	n/a
M•••••••• C•••••• I••••••••• M••••••••• L••	n/a	Former SEC adviser	$1.9B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN F••••••CO	CA	United States	n/a	no
Houston	TX	United States	n/a	no
Toronto	n/a	Canada	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Jun 26, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$3.9B	$3.8B	2.8%	n/a	n/a	85	68	n/a	n/a

Relationships

Affiliated with (4)

← NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ M•••••••• C•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M•••••••• I••••••••• P•••••••Registered adviserother investment adviser, control, common control
factForm ADV
← M•••••••• GLOBAL OPPORTUNITIES PARTNERS LLCRegistered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d3ec120-03a5-663b-7dc4-7e49750a3cc5
First observed: Dec 20, 2011
Last observed: Aug 6, 2014 147 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.