DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

A•••••• M••••••••• L••

CRD 160650

NEW YORK, NY

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Search this name across graphsid dfx:ria:75a34461-5d3d-7476-98aa-7385a6b1ab7b

Data as of Dec 10, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 6
On other graphs: 1
Observed: Feb 14, 2012 to Dec 10, 2024
19 observations

Across DFX

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

Private Equityidentity

A•••••• M••••••••• L••

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: $252M••• Locked
Discretionary RAUM: $252M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••••• O••••••••• F••• I•• L•••	Private Equity Fund	$183M	Dec 10, 2024	70	Feb 14, 2012	reported	021-138448
A•••••• I• A••••••••• I••••••••• L•••	Private Equity Fund	$60.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• S••••••••• H•••••••• L••	SOLE MEMBER	E	yes	10/2018	Mar 31, 2020	Dec 10, 2024
A••••••• S••••••••• L••	MANAGING MANAGER	D	yes	01/2006	Feb 14, 2012	Dec 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• S••••••••• L••	n/a	Asset manager	$19B	Y	yes	n/a
B•••• G•••• C•••••• L•	n/a	Former SEC adviser	$6.0B	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$252M	$66.1M	282.1%	$204M	7.3%	12	9	0	0

Relationships

Affiliated with (6)

← A••••••• S••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← A• B•••• G•••• L•Registered adviserother investment adviser, pooled vehicle sponsor
factForm ADV
→ A••••••• S••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ A•••••• C•••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 6, 2025
Left the SEC roster
••• Locked
Form ADVobserved 8 days ago
$252M
Occurred
Mar 29, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$186M
Occurred
Mar 31, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:75a34461-5d3d-7476-98aa-7385a6b1ab7b
First observed: Feb 14, 2012
Last observed: Dec 10, 2024 21 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.