DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

A•••••• I••••••••• I•••

CRD 285649

NEW YORK, NY

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Search this name across graphsid dfx:ria:901ae20e-8264-31c1-f5be-5a4f98e3b8d5

Data as of May 18, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 1
Observed: Jan 3, 2017 to May 18, 2018
5 observations

Across DFX

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

Private Equityidentity

A•••••• I••••••••• I•••

Private equity manager · key crd, key sfn adviser, 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: $41.9M••• Locked
Discretionary RAUM: $4.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••••••• A•••••• P••••••• L••	Private Equity Fund	$4.5M	May 18, 2018	15	Mar 30, 2018	reported	021-289897

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• P••••• W•••••	CHIEF EXECUTIVE OFFICER	Na	yes	06/2016	Jan 3, 2017	May 18, 2018
P••••• H••••••• F••••••••• I•••	Shareholder	E	yes	06/2016	Jan 3, 2017	May 18, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••••• A•••••• M•••••• 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
2017	Mar 30, 2018	$41.9M	$4.5M	7	7	1	1	$4.5M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$41.9M	n/a	n/a	n/a	n/a	7	n/a	1	n/a

Relationships

Advises (1)

→ N•••••••• A•••••• P••••••• L••Private fundPrivate Equity Fund, IA
Mar 30, 2018 to presentfactForm ADV

Controls (3)

← D•••••••• P••••• W•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jan 3, 2017 to presentfactForm ADV
← W•••• A••••• S••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 3, 2017 to presentfactForm ADV
← P••••• H••••••• F••••••••• I•••Owner

Dated events

Occurred
Jan 3, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:901ae20e-8264-31c1-f5be-5a4f98e3b8d5
First observed: Jan 3, 2017
Last observed: May 18, 2018 101 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.