DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

T••••••••• C•••••• P•••••••• L••

CRD 113203

SANTA MONICA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jun 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 84
Dated events: 35
On other graphs: 4
Observed: Mar 27, 2012 to Jun 17, 2026
58 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

T••••••••• C•••••• P•••••••• L••

Private equity manager · same SEC CIK, same CRD, same SEC file number

Independent Sponsorsidentity

T••••••••• C•••••• P•••••••• L••

Capital provider to sponsors · same SEC CIK, same CRD, same SEC file number

Private Creditidentity

T••••••••• C•••••• P•••••••• L••

Private credit manager · same SEC CIK, same CRD, same SEC file number

Facts

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

Firm class: asset managerderived••• Locked
Regulatory AUM: $3.2B••• Locked
Discretionary RAUM: $3.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••• V•••• O••••••••• F•••• L••	Private Equity Fund	$711M	Dec 23, 2024	104	Mar 30, 2016	dropped	n/a
T•• D••••• L•••••• F••• V•••••• L••	Private Equity Fund	$326M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• A•••••••• L••	Member	E	yes	09/2017	Nov 12, 2018	Dec 23, 2024
B•••••••• C•••••• H•••••••• I•••	Member	E	yes	09/2006	Mar 27, 2019	Dec 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••••• F••• A•••••••	n/a	Asset manager	$4.28T	N	yes	n/a
B•••••••• F•••••••• M••••••••• I••	n/a	Other adviser	$1.60T	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SANTA MONICA	CA	United States	12	yes
SAN FRANCISCO	CA	United States	3	yes
Atlanta	Ga	United States	1	yes
Chicago	IL	United States	1	yes
NEW YORK	NY	United States

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	$3.2B	$3.4B	-8.0%	$5.8B	-18.5%	10	12	1	3

Relationships

showing 80 of 84

Affiliated with (29)

← B•••••••• F•••••••• M••••••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
← B•••••••• C•••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
← B•••••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← B•••••••• R••••• A••••••• I••

Dated events

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

Order

Occurred
17 Jun 2026
Ria private fund assets change
••• Locked
Form ADV
down $5.8B
Occurred
17 Jun 2026
Ria office closed4 events
T••••••••• C•••••• P•••••••• L••: ria office closed, 4 events, on 17 Jun 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
31 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
down $2.7B
Occurred
17 May 2024
Control person left4 events
T••••••••• C•••••• P•••••••• L••: control person left, 4 events, on 17 May 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
29 Mar 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2012
Last observed: Jun 17, 2026 3 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.

All 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••••••• S•••••• S••••••••• F••• I•••• L••	Private Equity Fund	$22.2M	Jun 17, 2026	2	Mar 29, 2017	reported	n/a
T••••••••• S•••••• S••••••••• I•••• L•••	Private Equity Fund	$19.4M	Jun 17, 2026	6	Mar 30, 2016	reported	n/a
T••••••••• O••••••••• P••••••• V• L•	Private Equity Fund	$16.8M	Jun 17, 2026	1	Mar 27, 2019	reported	n/a
T••••••••• O••••••••• F••• V• L••	Private Equity Fund	$16.4M	Jun 17, 2026	117	Mar 29, 2018	reported	n/a
T•• D••••• L•••••• F••• V••••• ••••••••	Private Equity Fund	$9.3M	Jun 17, 2026	3	Mar 29, 2018	reported	n/a
T•• D••••• L•••••• F••• V••••• ••••••••	Hedge Fund	$7.6M	Jun 17, 2026	31	Mar 29, 2018	reported	n/a
T••••••••• S•••••• S••••••••• F••• I•••• L•••	Private Equity Fund	$6.0M	Jun 17, 2026	4	Mar 30, 2016	reported	n/a
T•• W••••••• F•••• L•	Securitized Asset Fund	$5.9M	Jun 17, 2026	3	Mar 30, 2015	reported	n/a
T•• W••••••• C••• L••	Securitized Asset Fund	$5.5M	Jun 17, 2026	3	Mar 28, 2013	reported	n/a
T••••••••• M••••••••• F••• S•• •••••••• L•••	Other Private Fund	$3.8M	Mar 28, 2013	30	Mar 27, 2012	dropped	n/a
T••••••••• S••••• L••• O•••••••• I••• L••	Private Equity Fund	$3.4M	Jun 17, 2026	1	Mar 28, 2014	reported	n/a
T••••••••• S••••• L••• F••• I••• L•	Private Equity Fund	$3.3M	Jun 17, 2026	2	Mar 30, 2015	reported	n/a
T••••••••• M••••••••• M••••• F•••	Hedge Fund	$3.2M	Mar 28, 2013	40	Mar 27, 2012	dropped	n/a
T••••••••• E••••••• Y•••• F••• I• L••	Private Equity Fund	$3.1M	Jun 17, 2026	5	Mar 30, 2016	reported	n/a
T••••••••• O••••••••• F••• V•• L••	Private Equity Fund	$3.1M	Jun 17, 2026	113	Mar 27, 2012	reported	n/a

All 40 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••••• A••••••••• M••••••••• L••	n/a	Asset manager	$18B	N	yes	n/a
S••••••••• A•••••••• L••	n/a	Independent wealth	$9.8B	N	yes	n/a
B•••••••• A•••• M••••••••• S•••••• A•	n/a	Asset manager	$2.4B	N	yes	n/a
B•••••••• R••••• A••••••• I••	n/a	Asset manager	$1.1B	N	yes	n/a
F••••••••• I•••	n/a	Former SEC adviser	$649M	N	yes	n/a
S••••••• L••	n/a	Asset manager	$16.4M	Y	yes	n/a
1••• P•••••• E••••• G•• L••	n/a	n/a	n/a	Y	yes	n/a
1••• P•••••• O••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
A••••• G••••• L••	n/a	n/a	n/a	Y	yes	n/a
A•• G••••• H••••••••• G• S•• R•••	n/a	n/a	n/a	N	yes	n/a
A••••••••• P•••••• C••••• O••••••••• F••• I• •••••••• L•••	n/a	n/a	n/a	N	yes	n/a
A••••••• H••••••• G•••••• L••	n/a	n/a	n/a	N	yes	n/a
A••••••• H••••••• I•• ••••••• L••	n/a	n/a	n/a	N	yes	n/a
A••••••• H••••••• I•• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• C••••••••• F••• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• C••••••••• F••• I•• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• C••••••••• F••• I• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• C••••••••• F••• V• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• C••••• P••••••••• •••••••• L••	n/a	n/a	n/a	Y	yes	n/a
B•• G••• I•• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• P•••••• C•••••• 2••• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• P•••••• C•••••• I• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• P•••••• C•••••• I•• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• R••• A••••• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• R••• A••••• I• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
B•• B••••• I••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
B•• N•• I••••••••• E••••••• M•••••• O••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
B•• N•• I••••••••• E••••••• M•••••• O••••••••• G•• L•••	n/a	n/a	n/a	Y	yes	n/a
B• L•••• G••••• L••	n/a	n/a	n/a	N	yes	n/a
B•••••••• ••••••• I••••••• L••••••	n/a	n/a	n/a	N	yes	n/a

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$5.7B	$5.7B	82	34	n/a	17	$3.6B
2014	Mar 30, 2015	$5.2B	$5.2B	80	35	n/a	13	$2.5B
2013	Mar 28, 2014	$5.3B	$5.3B	75	30	n/a	10	$1.4B
2012	Mar 28, 2013	$4.8B	$4.8B	60	30	n/a	9	$814M
2011	Mar 27, 2012	$5.0B	$5.0B	n/a	n/a	n/a	8	$1.2B