DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

A•••• R•••• C••••••• L•

CRD 301386

NEW YORK, NY

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Search this name across graphsid dfx:ria:886b953b-a9e8-82e5-73b1-3b811790fce2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 3
Observed: Jun 9, 2020 to Mar 31, 2026
7 observations

Across DFX

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

Venture Capitalidentity

A•••• R•••• C••••••• L•

Venture manager · shared crd

Independent Sponsorsidentity

A•••• R•••• C••••••• L•

Capital provider to sponsors · shared crd

Private Equityidentity

A•••• R•••• C••••••• L•

Private equity manager · 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: $601M••• Locked
Discretionary RAUM: $601M
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
A••••••••• P••••••• A• L•	Private Equity Fund	$269M	Mar 31, 2026	36	May 22, 2019	reported	021-334993
A•••• R•••• C•••••• F••• I•• L•	Private Equity Fund	$250M	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• J•••••• E••••••••	CHIEF COMPLIANCE OFFICER/COO	Na	yes	03/2022	Mar 31, 2022	Mar 28, 2024
A•••• R•••• C••••••• L••	GENERAL PARTNER	Na	yes	08/2018	Jun 9, 2020	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••••• P••••••• G•• L•	n/a	n/a	n/a	N	yes	n/a
A•••• R•••• C•••••• F••• 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
2025	Mar 31, 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	$601M	$577M	4.3%	$591M	0.5%	7	7	0	0

Relationships

Advises (5)

→ A•••• R•••• C•••••• F••• I•••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ A••••••••• S••••••• I• L•Private fundPrivate Equity Fund, IA
Mar 27, 2020 to presentfactForm ADV
→ A••••••••• P••••••• A• L•Private fundPrivate Equity Fund, IA
May 22, 2019 to presentfactForm ADV
→ A•••• R•••• C•••••• F••• I•• L•

Dated events

Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$252M
Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$109M
Occurred
Mar 31, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 9, 2020
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:886b953b-a9e8-82e5-73b1-3b811790fce2
First observed: Jun 9, 2020
Last observed: Mar 31, 2026 5 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.