DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

L•••• C•••••• M••••••••• G••••• L•••

CRD 299917

NEW YORK, NY

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Search this name across graphsid dfx:ria:6ef626e0-f737-ae9c-eb30-5d4a93a4b51b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 10
On other graphs: 3
Observed: Nov 30, 2018 to Mar 31, 2026
12 observations

Across DFX

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

Private Equityidentity

L•••• C•••••• M••••••••• G••••• L•••

Private equity manager · key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

L•••• C•••••• M••••••••• G••••• L•••

Capital provider to sponsors · key crd, key sfn adviser, shared crd

Private Creditidentity

L•••• C•••••• M••••••••• G••••• L•••

Private credit manager · key crd, key sfn adviser, shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L•••• C•••••• R•••••• F••• I•• L•••	Private Equity Fund	$310M	Mar 31, 2026	59	Mar 31, 2022	reported	021-421656
L••••••••• W•••••••• L•	Private Equity Fund	$303M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• R•••• E••••• K•••	Member	C	yes	11/2018	Nov 30, 2018	Mar 29, 2024
C••••••• R•••• E••••• K•••	Partner	C	yes	11/2018	Nov 30, 2018	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Charleston	Sc	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$1.1B	$683M	61.1%	$628M	20.6%	11	8	1	1

Relationships

Advises (13)

→ L••••••••• W•••••••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ P•••••••• I••• R•• L•Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ L•••• P••••• O••••••• F•••••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ L••••••••• L•

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$417M
Occurred
Mar 31, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$442M
Occurred
Mar 31, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$40.1M
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ef626e0-f737-ae9c-eb30-5d4a93a4b51b
First observed: Nov 30, 2018
Last observed: Mar 31, 2026 5 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.