DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100bsuccession filed

S•••••••• C•••••• M••••••••• ••••••••• A•

CRD 333658

ZURICH

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Search this name across graphsid dfx:ria:8d5c3a25-f320-99e8-9652-a566a468334c

Data as of Nov 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 93
Dated events: 2
On other graphs: 2
Observed: Nov 25, 2024 to Nov 25, 2024
1 observations

Across DFX

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

Private Equityidentity

S•••••••• C•••••• M••••••••• ••••••••• A•

Private equity manager · shared crd

Private Creditidentity

S•••••••• C•••••• M••••••••• ••••••••• A•

Private credit manager · 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: $23B••• Locked
Discretionary RAUM: $23B
Private client RAUM: $63.9Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 97
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• C•••••• S••••••••• G••••• P•••••• E•••••	Private Equity Fund	$1.4B	Nov 25, 2024	55	Mar 30, 2020	reported	n/a
S•••••••• C•••••• P•••••• E••••• E••••• V•• S•••••	Private Equity Fund	$933M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• B•••••••• J••••	HEAD OF GLOBAL P•••••• EQUITY PORTFOLIOS	Na	yes	03/2024	Nov 25, 2024	Nov 25, 2024
A•••••• P••••• C•••••••••	CHIEF OPERATING OFFICER, P•••••• ASSETS	Na	yes	05/2017	Nov 25, 2024	Nov 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• I••••••••• M••••••••• N•••• A•••••• I••	n/a	Asset manager	$150B	N	yes	n/a
S••••••• I••••••••• M••••••••• N•••• A•••••• L••	n/a	Asset manager	$83B	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Beijing	n/a	China	2	no
Shanghai	n/a	China	1	no

Relationships

showing 80 of 93

Affiliated with (3)

→ S••••••• I••••••••• M••••••••• N•••• A•••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ S••••••• I••••••••• M••••••••• N•••• A•••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S••••••• I••••••••• M••••••••• •••••• L••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (72)

Dated events

Occurred
Nov 25, 2024
Succession filed (Item 4)
S•••••••• C•••••• M••••••••• ••••••••• A• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago
Occurred
Nov 25, 2024
First Form ADV filing
S•••••••• C•••••• M••••••••• ••••••••• A• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d5c3a25-f320-99e8-9652-a566a468334c
First observed: Nov 25, 2024
Last observed: Nov 25, 2024 22 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.