DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

R•••••••• C•••••• M••••••••• L••

CRD 150798

NEW YORK, NY

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Search this name across graphsid dfx:ria:8a6fd078-40b5-25e4-1410-51a9e78a9146

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 8
On other graphs: 1
Observed: Mar 30, 2012 to Mar 20, 2026
22 observations

Across DFX

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

Venture Capitalidentity

R•••••••• C•••••• M••••••••• L••

Venture 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=0.82 institutional_share=0.18 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $299M••• Locked
Discretionary RAUM: $299M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••••••• V••••••• I•• L•	Venture Capital Fund	$74.0M	Mar 20, 2026	90	Mar 24, 2020	reported	n/a
R•••••••• V••••••• I• L•	Venture Capital Fund	$55.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• P•••• C••••	CHIEF FINANCIAL OFFICER	Na	yes	06/2009	Mar 30, 2012	Mar 21, 2024
G••••••• K••••••• R•	CHIEF COMPLIANCE OFFICER	Na	yes	10/2017	Oct 19, 2017	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••••• A•••••••• L••	n/a	Asset manager	$836M	N	yes	n/a
R• V••••••• I••••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
R• V••••••• I••••••••• I••• L••

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	$299M	$315M	-5.1%	$509M	-16.3%	17	17	0	0

Relationships

Affiliated with (3)

→ R•••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← R•••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← A••••• E•• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (5)

→ R•••••••• V••••••• S••••• I••••• L••

Dated events

Occurred
Mar 20, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$7.0M
Occurred
Mar 20, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$12.0M
Occurred
Mar 21, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-172M
Occurred
Mar 27, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a6fd078-40b5-25e4-1410-51a9e78a9146
First observed: Mar 30, 2012
Last observed: Mar 20, 2026 6 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.