DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

N•••• E••••••• A•••• M••••••••• L••

CRD 306985

NEW YORK, NY

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Search this name across graphsid dfx:ria:8e870a5e-acf2-0d7f-42cf-44e74128073a

Data as of Jul 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 3
On other graphs: 2
Observed: Mar 31, 2022 to Jul 2, 2026
12 observations

Across DFX

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

Private Equityidentity

N•••• E••••••• A•••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

N•••• E••••••• A•••• M••••••••• L••

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=true related_bank=false bd_reps=3.0
Regulatory AUM: $239M••• Locked
Discretionary RAUM: $239M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••• E••••••• A••• F••• I• L•	Private Equity Fund	$117M	Jul 2, 2026	5	Mar 31, 2022	reported	n/a
N•••• E••••••• A••• F••• L•	Private Equity Fund	$102M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• Y•••••	Owner	C	yes	01/2020	Mar 31, 2022	Mar 29, 2024
D•••• Y•••••	Cio	Na	yes	02/2022	Mar 31, 2022	Mar 29, 2024
J••• I••••••••• L••••••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••• E••••••• C•••••• H• L••••••	n/a	n/a	n/a	N	yes	n/a
N•••• E••••••• S••••••••• A••• L•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Shenzhen	n/a	China	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	1	0	0	1

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	$239M	$219M	8.8%	$198M	6.4%	5	5	1	1

Relationships

Advises (3)

→ N•••• E••••••• A••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ N•••• E••••••• A••• F••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ N•••• E••••••• T••••••••• F••• L•Private fundPrivate Equity Fund, ERA, no longer reported
Feb 6, 2020 to Oct 25, 2021factForm ADV

Registered with (1)

Dated events

Occurred
Jul 2, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$18.9M
Occurred
Jun 29, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e870a5e-acf2-0d7f-42cf-44e74128073a
First observed: Mar 31, 2022
Last observed: Jul 2, 2026 2 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.