DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

C•• A••••••• L••

CRD 304684

NEW YORK, NY

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Search this name across graphsid dfx:ria:7b9793be-21c8-dea8-b4ba-33a2f423c012

Data as of Jun 5, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 5
On other graphs: 1
Observed: Jul 29, 2019 to Jun 5, 2023
8 observations

Across DFX

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

Private Equityidentity

C•• A••••••• 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: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 34
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••• H••••••••• I••••••••• I• L•	Private Equity Fund	$540M	Jun 5, 2023	798	Mar 29, 2022	reported	021-414835
C•••• H••••••••• I••••••••• I•• L•	Private Equity Fund	$429M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• M••••••• G•	G•••••• C••••••• C•••• O•••••••• O••••••• C•••• I••••••••• M••••••••• L••	Na	yes	01/2012	Jul 29, 2019	Jun 5, 2023
C•••• I•••	MANAGING MEMBER	E	yes	11/2009	Jul 29, 2019	Jun 5, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••••• R•••••• M••••••••• L••	n/a	ASSET_M••••••	$3.8B	N	yes	n/a
C•••• I••••••••• M••••••••• L••	n/a	Former SEC adviser	$2.1B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 31, 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
2022	$1.2B	$1.2B	-0.5%	$733M	16.4%	34	34	0	0

Relationships

Affiliated with (8)

→ R••••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ C•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ R••••• T•••••• S••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ R•• L•••••••Registered adviser

Dated events

Occurred
Mar 31, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 12, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$202M
Occurred
Mar 30, 2020
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b9793be-21c8-dea8-b4ba-33a2f423c012
First observed: Jul 29, 2019
Last observed: Jun 5, 2023 40 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.