DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

A•••• A••••••• C••••••• L•••

CRD 133040

NEW YORK, NY

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Search this name across graphsid dfx:ria:72e2adde-4f14-0436-f19c-675d581333fc

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 10
On other graphs: 1
Observed: Mar 30, 2012 to Mar 19, 2026
23 observations

Across DFX

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

Private Creditidentity

A•••• A••••••• C••••••• L•••

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=0.31 institutional_share=0.68 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.0B••• Locked
Discretionary RAUM: $1.9B
Private client RAUM: $5.5Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••• M••••• F•••• L•••	Hedge Fund	$674M	Mar 19, 2026	20	Mar 21, 2017	reported	021-279023
B•••• M•••••••• S••••••••• M••••• F••• L•••	Hedge Fund	$224M	Mar 19, 2019

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• A••••••• C•••••• M••••••••• L••	GENERAL PARTNER	Na	yes	06/2005	Mar 30, 2012	Mar 19, 2024
B•••• C•••••• M••••••••• L••	GENERAL PARTNER	Na	yes	11/2016	Mar 21, 2017	Mar 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• C••••••• L•	n/a	Institutional manager	$18B	N	no	n/a
A•••• A••••••• C•••••• M••••••••• L••	n/a	n/a	n/a	Y	yes	n/a
B•••• C•••••• M••••••••• L••

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	$3.0B	$2.9B	0.7%	$2.4B	8.0%	22	22	0	0

Relationships

Affiliated with (2)

→ A•••• C••••••• L•Registered adviserother investment adviser
factForm ADV
← P••••••• O••••••• A•••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (14)

→ A•••• E•• A••••••••• I••••• F••• L••Private fundOther Private Fund, IA
Mar 19, 2024 to presentfactForm ADV
→ B•••• M••••• F•••• L•••

Dated events

Occurred
Mar 19, 2026
Ria p•••••• fund assets change
••• Locked
Form ADVobserved today
$207M
Occurred
Mar 22, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-970M
Occurred
Mar 25, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 14, 2021

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72e2adde-4f14-0436-f19c-675d581333fc
First observed: Mar 30, 2012
Last observed: Mar 19, 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.