DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

D•••• C•••••• M••••••••• L•

CRD 170010

NEW YORK, NY

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 19
On other graphs: 4
Observed: Jun 29, 2015 to Mar 31, 2026
17 observations

Across DFX

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

Venture Capitalidentity

D•••• C•••••• M••••••••• L•

Venture manager · cited, key_cik, key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

D•••• C•••••• M••••••••• L•

Capital provider to sponsors · cited, key_cik, key_crd, key_sfn_adviser, shared_crd

Private Equityidentity

D•••• C•••••• M••••••••• L•

Private equity manager · cited, key_cik, key_crd, key_sfn_adviser, shared_crd

Allocators

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: $170M••• Locked
Discretionary RAUM: $170M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D•••• I••••••••• F••• I•• L•	Private Equity Fund	$153M	Mar 31, 2026	28	Mar 30, 2018	reported	021-284337
D•••• U•• C••••••••• L•	Private Equity Fund	$14.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• M•••• L••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2022	Mar 30, 2022	Aug 2, 2024
C••••••••• M••••••• R•••••	Member	E	yes	10/2012	Jun 29, 2015	Aug 2, 2024

Affiliates (Item 7.A)

••• Locked

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

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	$170M	$187M	-9.2%	$422M	-26.2%	12	12	0	0

Relationships

Advises (7)

→ D•••• I••••••••• F•••• L•Private fundPrivate Equity Fund, IA
Dec 13, 2013 to presentfactForm ADV
→ D•••• L•• C••••••••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ D•••• I••••••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Mar 30, 2018 to presentfactForm ADV
→ D•••• U•• C••••••••• L•

Dated events

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

Order

Occurred
31 Mar 2026
Ria principal change2 events
D•••• C•••••• M••••••••• L•: ria principal change, 2 events, on 31 Mar 2026
- ••• Locked
- ••• Locked
Occurred
31 Mar 2026
Ria private fund assets change
••• Locked
Form ADV
down $129M
Occurred
31 Mar 2026
Private fund no longer reported4 events
Private fund no longer reported: 4 on 31 Mar 2026
$463K to $14.9M
- ••• Locked$14.9M
- ••• Locked$5.0M
- ••• Locked$1.9M
Occurred
31 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
down $111M
Occurred
2 Aug 2024
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 29, 2015
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.