DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

N•• C•••••• I•••

CRD 157288

NEW YORK, NY

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Search this name across graphsid dfx:ria:920c2c4f-509e-7f66-f889-9f1f0dc68701

Data as of May 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 1
On other graphs: 3
Observed: Nov 21, 2011 to May 15, 2026
55 observations

Across DFX

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

Private Equityidentity

N•• C•••••• I•••

Private equity manager · shared crd

Independent Sponsorsidentity

N•• C•••••• I•••

Capital provider to sponsors · shared crd

Real Estate Fundsidentity

N•• C•••••• I•••

Real estate fund manager · 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: $2.0B••• Locked
Discretionary RAUM: $2.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 60

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•• B••••• F•••• L•••	Hedge Fund	$819M	Sep 20, 2024	65	Nov 21, 2011	reported	n/a
N•• A••••••••• P•••••••• L•••	Private Equity Fund	$767M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••• G••••••• N••	VICE PRESIDENT, SENIOR GENERAL COUNSEL & CCO	Na	yes	07/2007	Nov 21, 2011	Sep 20, 2024
N•• A••••••• I•••	Shareholder	E	yes	04/2000	Nov 21, 2011	Sep 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••••• C•••••• L••	n/a	Former SEC adviser	$82.7M	Y	yes	n/a
C•••••• C•••••• L••••••	n/a	n/a	n/a	Y	yes	n/a
L•••• I••••••• B••• S•

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Kiev	n/a	Ukraine	5	no
Bucharest	n/a	Romania	2	no
Athens	n/a	Greece	1	no
Moscow	n/a	Russia	1	no
Moscow	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$2.0B	$1.8B	9.9%	$2.4B	-6.2%	60	53	7	7

Relationships

Affiliated with (3)

→ R•••••••• C•••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
← C••••••••• C•••••• C••••Registered adviserother investment adviser, common control
factForm ADV
← R•••••••• C•••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (18)

→ N•• R••••• F•••• L•••

Dated events

Occurred
Jun 17, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:920c2c4f-509e-7f66-f889-9f1f0dc68701
First observed: Nov 21, 2011
Last observed: May 15, 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.