DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

S•• C•••••• M••••••••• L••

CRD 297944

NEW YORK, NY

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Search this name across graphsid dfx:ria:8f243ed1-c4b2-66c2-f12c-d80cbaa2de5f

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 6
On other graphs: 1
Observed: Aug 27, 2021 to Jul 1, 2026
15 observations

Across DFX

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

Private Creditidentity

S•• C•••••• M••••••••• L••

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.59 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $350M••• Locked
Discretionary RAUM: $350M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• F••• S••••••••• P•••••••• S••••••	Hedge Fund	$1.3B	May 2, 2024	1	Aug 27, 2021	reported	n/a
S•• F••• S••••••••• P•••••••• E••••••••	Hedge Fund	$1.1B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D• A•••••• L•••••••• L•••••••• N••	Manager	F	yes	05/2018	Aug 27, 2021	May 2, 2024
D••••••• D••••• M••••••	CHIEF INVESTMENT OFFICER, DIRECTOR	Na	yes	02/2020	Aug 27, 2021	May 2, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• C•••••• M••••••••• S•••••••• P••• L•••	n/a	n/a	n/a	N	yes	n/a
S•• G••••• D• R••••••• L••••	n/a	n/a	n/a	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	1	no

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	$350M	$500M	-30.0%	$5.6B	-60.3%	9	12	1	1

Relationships

Advises (18)

→ A••••••• R••••• C••••• M••••• F••• L•••Private fundHedge Fund, IA
Mar 29, 2022 to presentfactForm ADV
→ S•• F••• S••••••••• P•••••••• E••••••••Private fundHedge Fund, IA
Nov 13, 2018 to presentfactForm ADV
→ S•• F••• S••••••••• P•••••••• C••••••• E••••Private fundHedge Fund, IA
Nov 13, 2018 to presentfactForm ADV
→ S•• F••• S••••••••• P•••••••• H•••••

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-150M
Occurred
Mar 31, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$140M
Occurred
Mar 28, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-5.2B
Occurred
Mar 31, 2023
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8f243ed1-c4b2-66c2-f12c-d80cbaa2de5f
First observed: Aug 27, 2021
Last observed: Jul 1, 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.