DFX Intelligence

P•••••• E••••• 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 100m 1b

P•••••• E••••• L••

CRD 301543

GREENWICH, CT

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 graphsid dfx:ria:83ca8b4d-4430-ab49-2428-582e1b90a4a7

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 4
On other graphs: 2
Observed: Jul 9, 2019 to May 14, 2026
16 observations

Across DFX

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

Private Equityidentity

P•••••• E••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

P•••••• E••••• L••

Capital provider to sponsors · shared crd

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=false bd_reps=0.0
Regulatory AUM: $410M••• Locked
Discretionary RAUM: $410M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• E••••• I•• L•••	Private Equity Fund	$164M	May 17, 2024	67	Mar 28, 2019	reported	021-307448
P•••••• E••••• A••••••• S•• I• L•••	Private Equity Fund	$129M	Oct 23, 2023

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• C•••••• A••••••	MANAGING MEMBER	D	yes	08/2014	Jul 9, 2019	May 17, 2024
L•••••••• T•••••••• B•••••••	MANAGING MEMBER	D	yes	08/2014	Jul 9, 2019	May 17, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••• F•••••• • C••••••• L••	n/a	Former SEC adviser	$443M	Y	yes	n/a
F•• A•••••• M••••••••• L••	n/a	n/a	n/a	Y	yes	n/a
P•••••• E••••• G•• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 9, 2026

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	$410M	$495M	-17.3%	$611M	-12.5%	8	8	0	0

Relationships

Affiliated with (1)

→ F••••• F•••••• • C••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Advises (12)

→ P•••••• H••••• L••Private fundPrivate Equity Fund, IA
Mar 30, 2015 to presentfactForm ADV
→ P•••••• G••••••• L••Private fundPrivate Equity Fund, IA
Mar 20, 2023 to presentfactForm ADV
→

Dated events

Occurred
Mar 11, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-175M
Occurred
Mar 24, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$386M
Occurred
Mar 29, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$105M
Occurred
Jul 9, 2019
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:83ca8b4d-4430-ab49-2428-582e1b90a4a7
First observed: Jul 9, 2019
Last observed: May 14, 2026 4 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.