DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

N•• C•••• C•••••• M••••••••• C••••

CRD 295905

STAMFORD, CT

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Search this name across graphsid dfx:ria:8da649a3-45f6-6366-8d6f-1244bacd6a23

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 2
Observed: Mar 27, 2023 to May 6, 2026
8 observations

Across DFX

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

Private Equityidentity

N•• C•••• C•••••• M••••••••• C••••

Private equity manager · shared crd

Independent Sponsorsidentity

N•• C•••• C•••••• M••••••••• C••••

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=true bd_reps=0.0
Regulatory AUM: $234M••• Locked
Discretionary RAUM: $234M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• C•••••• H••••••• I••• L•••	Private Equity Fund	$203M	May 1, 2024	70	Nov 8, 2013	reported	021-202428
C••••• O••••••••• F•••• L•••	Private Equity Fund	$37.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••• A••••• H•	Controller	Na	yes	01/2011	Mar 27, 2023	May 1, 2024
S• D••••• S•••••• 2••• R•••••••• T••••	SOLE MEMBER	E	yes	11/2020	Mar 27, 2023	May 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••••• I•• M••••• G•• L•••	n/a	n/a	n/a	Y	yes	n/a
C••••• C•••••• I• M••••• G•• L••	n/a	n/a	n/a	Y	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	$234M	$268M	-12.8%	$353M	-12.8%	4	4	0	0

Relationships

Affiliated with (1)

← P••••• P••••••• M••••••••• C••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ C••••• O••••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 25, 2022 to presentfactForm ADV
→ C••••• C•••••• H••••••• I••• L•••Private fundPrivate Equity Fund, IA
Nov 8, 2013 to presentfactForm ADV

Controls (6)

Dated events

Occurred
Mar 27, 2023
First Form ADV filing
N•• C•••• C•••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8da649a3-45f6-6366-8d6f-1244bacd6a23
First observed: Mar 27, 2023
Last observed: May 6, 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.