DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

1••• C•••••• L•

CRD 305398

GREENWICH, CT

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Search this name across graphsid dfx:ria:9446b651-33ed-ec19-61f5-95207d0f9247

Data as of Apr 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 6
On other graphs: 2
Observed: Mar 31, 2021 to Apr 30, 2026
11 observations

Across DFX

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

Private Equityidentity

1••• C•••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

1••• C•••••• 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=0.95 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $365M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
1••• C•••••• F••• I• L•	Private Equity Fund	$79.0M	Aug 30, 2024	6	Oct 7, 2019	reported	021-439635
1••• C•••••• F••• ••••••••• I• L•	Private Equity Fund	$51.1M	Jun 28, 2023

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
1••• C•••••• H••••••• L••	GENERAL PARTNER	Na	yes	08/2019	Mar 31, 2021	Aug 30, 2024
1••• H••••••• 2• L••	Owner	E	yes	12/2021	Mar 31, 2022	Aug 30, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
1••• C•••••• G• I• L••	n/a	n/a	n/a	N	yes	n/a
1••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a
1••• L•••••• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 30, 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	$1.0B	$843M	23.2%	$762M	10.9%	8	7	0	0

Relationships

Advises (4)

→ 1••• E•• H••••••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ 1••• C•••••• F••• I• L•Private fundPrivate Equity Fund, IA
Oct 7, 2019 to presentfactForm ADV
→ 1••• C•••••• O••••••• M••••• F•••Private fundPrivate Equity Fund, IA
Mar 28, 2024 to presentfactForm ADV
→ 1••• C•••••• F••• ••••••••• I• L•

Dated events

Occurred
Aug 30, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 30, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$222M
Occurred
Mar 31, 2022
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9446b651-33ed-ec19-61f5-95207d0f9247
First observed: Mar 31, 2021
Last observed: Apr 30, 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.

Controls (12)

← H•••••• A•••• E••••OwnerL•••••• PARTNER OF B••••• H••••• (JERSEY) LP, ownership code D, individual
Mar 31, 2022 to Aug 30, 2024factForm ADV
← U••••• A•••••• T•••OwnerCIO/FOUNDER, ownership code E, individual
Mar 31, 2021 to Aug 30, 2024factForm ADV
← W•••••••• G•••••••• M••••••OwnerPORTFOLIO MANAGER, ownership code A, individual
Mar 31, 2021 to Aug 30, 2024factForm ADV
← Z•••• B••••• A•••••••OwnerPORTFOLIO MANAGER, ownership code A, individual
Mar 31, 2021 to Aug 30, 2024factForm ADV
← N•• K••• C••••OwnerCHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 30, 2024 to Aug 30, 2024factForm ADV
← 1••• C•••••• H••••••• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 31, 2021 to Aug 30, 2024factForm ADV
← 1••• H••••••• 2• L••OwnerOWNER, ownership code E, domestic entity
Mar 31, 2022 to Aug 30, 2024factForm ADV
← A••• G• L••••••OwnerGENERAL PARTNER OF B••••• H••••• (JERSEY) LP, ownership code F, foreign entity
Mar 31, 2023 to Aug 30, 2024factForm ADV
← A••• L•••OwnerL•••••• PARTNER OF B••••• H••••• C•••••• M••••••••• L•, ownership code E, foreign entity
Mar 31, 2023 to Aug 30, 2024factForm ADV
← B••••• H••••• A•••• M••••••••• S••••••• L••OwnerOWNER OF 100% OF SHARE CAPITAL OF B••• H••••••• L••, ownership code E, foreign entity
Mar 31, 2022 to Aug 30, 2024factForm ADV
← B••••• H••••• C•••••• M••••••••• L•OwnerOWNER OF 100% OF SHARE CAPITAL OF B••••• H••••• I••••••••• H••••••• L••, ownership code E, foreign entity
Mar 31, 2022 to Aug 30, 2024factForm ADV
← B••••• H••••• I••••••••• H••••••• L••OwnerOWNER OF 100% OF SHARE CAPITAL OF B••••• H••••• A•••• M••••••••• S••••••• L••, ownership code E, foreign entity
Mar 31, 2022 to Aug 30, 2024factForm ADV