DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

O•••••• H••••••• M•••••••• L•

CRD 288743

NEW YORK CITY, NY

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Data as of Apr 5, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 1
Observed: Jun 8, 2017 to Apr 5, 2022
7 observations

Across DFX

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

Private Equityidentity

O•••••• H••••••• M•••••••• L•

Private equity manager · key_crd, key_sfn_adviser, 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: $459,374••• Locked
Discretionary RAUM: $459,374
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•••••• H••••••• I• L•	Private Equity Fund	$459,374	Apr 5, 2022	11	Nov 7, 2017	reported	021-2922344

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• R•••••• ••••	Member	D	yes	04/2017	Jun 8, 2017	Apr 5, 2022
H••••••••• J•••••• D••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2017	Jun 8, 2017	Apr 5, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••• I••••• V•••••••• L••	n/a	Asset manager	$441M	N	yes	n/a
O•••••• H••••••• I• G•• L•	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Apr 5, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$459,374	$550M	-99.9%	$1.0B	-92.4%	7	7	0	0

Relationships

Affiliated with (1)

→ N•••• I••••• V•••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ O•••••• H••••••• I• L•Private fundPrivate Equity Fund, IA
Nov 7, 2017 to presentfactForm ADV

Controls (3)

← H••••••••• J•••••• D••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 8, 2017 to presentfactForm ADV

Dated events

Occurred
Apr 5, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-549M
Occurred
Mar 30, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-390M
Occurred
Mar 28, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$299M
Occurred
Jun 8, 2017

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 8, 2017
Last observed: Apr 5, 2022 54 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.