DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

A••••••• I••••••••• M••••••••• C••••••

CRD 107775

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6d68318b-45b7-ea82-dbf8-faf130f28378

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 32
On other graphs: 1
Observed: Feb 1, 2012 to Mar 25, 2026
34 observations

Across DFX

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

Private Creditidentity

A••••••• I••••••••• M••••••••• C••••••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.42 institutional_share=0.25 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $26B••• Locked
Discretionary RAUM: $26B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 149

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••• S•••• T••• P•••• L••	Liquidity Fund	$2.6B	Mar 25, 2026	58	Oct 4, 2016	reported	n/a
A•••• C•• 1•• L•••	Securitized Asset Fund	$608M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• N••••••••• H••••••• I•••	Shareholder	E	yes	07/1998	Feb 1, 2012	Mar 28, 2024
B•••••• P•••••• M••••••	SENIOR MANAGING D•••••OR / D•••••OR	Na	yes	09/2020	Feb 16, 2021	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• F•••••••• A•••••••• L••	n/a	Bd affiliated wealth	$142M	N	yes	n/a
A•••• A••••••• I•••••••• C••••••	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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$26B	$20B	29.9%	$22B	6.3%	149	134	0	0

Relationships

Affiliated with (2)

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

Advises (28)

→ A•••• C•• 1•• L••Private fundSecuritized Asset Fund, IA
Mar 25, 2022 to presentfactForm ADV
→ A•••• C•• 1•• L•••

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 25, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$6.1B
Occurred
Mar 25, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$2.4B
Occurred
Mar 25, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6d68318b-45b7-ea82-dbf8-faf130f28378
First observed: Feb 1, 2012
Last observed: Mar 25, 2026 6 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.