DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 10b 100b

C••••• C•••••• P•••••••• L•••

CRD 130819

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 43
Dated events: 36
On other graphs: 3
Observed: Mar 13, 2012 to Mar 31, 2026
33 observations

Across DFX

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

Private Equityidentity

C••••• C•••••• P•••••••• L•••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

C••••• C•••••• P•••••••• L•••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

C••••• C•••••• P•••••••• L•••

Private credit 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: other adviserderivedprivate_client_share=0.0 fund_share=0.57 institutional_share=0.19 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $11B••• Locked
Discretionary RAUM: $11B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 56

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• E•••• O••••••••• F•••• L•••	Hedge Fund	$2.7B	Mar 31, 2026	129	Mar 30, 2017	reported	021-255351
P•••••••• P•••••••• L•••	Hedge Fund	$2.6B	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• S•• L••	Member	E	yes	10/2021	Oct 6, 2021	Jun 14, 2024
B••••••••• C••••• G•••	CHIEF INVESTMENT OFFICER	C	yes	02/2012	Mar 13, 2012	Jun 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• C•••••• P••••••• M••••••••• L••	n/a	n/a	n/a	N	yes	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	$11B	$10B	6.9%	$9.8B	4.5%	56	56	0	0

Relationships

Advises (22)

→ P•••••••• P•••••••• L•••Private fundHedge Fund, IA
Mar 13, 2012 to presentfactForm ADV
→ C•• I• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ C•• I• •••••••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ C••••• P•••••• C••••• O••••••••• F••• I•• L•••

Dated events

Order

Occurred
31 Mar 2026
Ria majority owner change
••• Locked
Form ADV
Occurred
31 Mar 2026
Private fund first reported3 events
Private fund first reported: 3 on 31 Mar 2026
$29.5M to $112M
- ••• Locked$112M
- ••• Locked$42.6M
- ••• Locked$29.5M
Occurred
31 Mar 2026
Private fund no longer reported2 events
Private fund no longer reported: 2 on 31 Mar 2026
$165M to $590M
- ••• Locked$590M
- ••• Locked$165M
Occurred
31 Mar 2026
Private fund gav change
••• Locked
Form ADV
$321M
Occurred
31 Mar 2026
Ria ownership band change2 events
C••••• C•••••• P•••••••• L•••: ria ownership band change, 2 events, on 31 Mar 2026
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 13, 2012
Last observed: Mar 31, 2026 5 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.

All 22 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••• P•••••• C••••• M•••••• F•••• L•••	Private Equity Fund	$127M	Mar 31, 2026	7	Mar 30, 2020	reported	021-352673
C•• I• L•••	Private Equity Fund	$112M	Mar 31, 2026	31	Mar 31, 2026	reported	021-519362
T•• O••••••• P••••••••• F•••	Hedge Fund	$110M	May 11, 2020	178	Mar 13, 2012	dropped	021-128720
C••••• M•••••••• F••• I• L•••	Private Equity Fund	$102M	Sep 5, 2019	13	Mar 31, 2015	dropped	021-227577
C••••• M•••• F•••• L•••	Hedge Fund	$55.9M	Mar 30, 2016	54	Mar 28, 2013	dropped	021-176255
C••••• P•••••• C••••• O••••••••• F••• I•• L•••	Private Equity Fund	$55.5M	Mar 31, 2026	27	Feb 28, 2018	reported	021-453190
P•••••••• P•••• L•••	Hedge Fund	$54.1M	Mar 30, 2016	24	Mar 13, 2012	dropped	021-127357
C••••• S••••••••• • E••••••••• F•••• L•••	Hedge Fund	$52.3M	Mar 31, 2026	24	May 4, 2023	reported	021-478748
5•• L•••• I••••••••• L•••	Private Equity Fund	$42.6M	Mar 31, 2026	6	Mar 31, 2026	reported	021-570283
C•• I• •••••••• L•••	Private Equity Fund	$29.5M	Mar 31, 2026	4	Mar 31, 2026	reported	021-552696
C••••• M•••• F•••• L•••	Hedge Fund	$27.7M	Mar 30, 2016	12	Mar 31, 2014	dropped	021-205029
K••••••••• P•••••••• L•••	Hedge Fund	$10.0M	Mar 30, 2016	3	Mar 13, 2012	dropped	021-103475

All 21 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• R•••••••	Trustee	F	yes	09/2015	Mar 30, 2018	Jun 14, 2024
L•••••• R•••••••	Trustee	F	yes	09/2015	Mar 30, 2018	Jun 14, 2024
M••••••• J•••• P•••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2020	May 11, 2020	Jun 14, 2024
N• 2••• G••• N• 4• A•• 2• F•• N•••• L•••••	Member	C	yes	08/2016	Mar 30, 2018	Jun 14, 2024
N• 2••• G••• N• 4• A•• 2• F•• R••••••• L•••••	Member	C	yes	08/2016	Mar 30, 2022	Jun 14, 2024
S•••••• T••••• K••••	CHIEF EXECUTIVE OFFICER	C	yes	04/2004	Mar 13, 2012	Jun 14, 2024
S•••••• E•••••	Trustee	F	yes	11/2011	Mar 31, 2014	Jun 14, 2024
S•••••• H••••• A••••••••	Trustee	F	yes	11/2011	Mar 13, 2012	Jun 14, 2024
C••••• C•••••• P••••••• G••••• L••	LIMITED PARTNER	B	no	10/2021	Mar 13, 2012	Jun 14, 2024
H•••• S••••• 2••• D••••••••• T••••	Member	D	no	10/2021	Mar 31, 2014	Jun 14, 2024
L••••• C•• H••••••• L••	LIMITED PARTNER	B	no	08/2006	Mar 13, 2012	Jun 14, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$5.3B	$5.3B	39	10	n/a	12	$8.5B
2014	Mar 31, 2015	$5.1B	$5.1B	36	10	n/a	12	$8.4B
2013	Mar 31, 2014	$4.3B	$4.3B	38	11	n/a	11	$7.2B
2012	Mar 28, 2013	$3.6B	$3.6B	41	12	n/a	10	$6.2B
2011	Mar 30, 2012	$3.0B	$3.0B	n/a	n/a	n/a	8	$4.9B