DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

P••••• I••••••••• U• L••

CRD 299672

NEW YORK, NY

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Data as of Jun 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 32
On other graphs: 2
Observed: Mar 31, 2021 to Jun 18, 2026
20 observations

Across DFX

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

Private Creditidentity

P••••• I••••••••• U• L••

Private credit manager · key_cik, key_crd, key_sfn_adviser, shared_crd

Real Estate Fundsidentity

P••••• I••••••••• U• L••

Real estate fund manager · key_cik, 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: 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: $985M••• Locked
Discretionary RAUM: $985M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 121

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••• O••••••••• M••••• F••• L•••	Hedge Fund	$719M	Jun 18, 2026	1,220	Sep 24, 2021	reported	021-328486
P••••• O••••••••• F•••• L•	Hedge Fund	$370M	Mar 31, 2021

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••• S•••••	President	Na	yes	10/2023	Oct 25, 2023	Aug 15, 2024
E••••••••• M•••••• B••••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2023	Jun 1, 2023	Aug 15, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 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	$985M	$1.8B	-45.7%	$2.5B	-26.7%	121	133	0	0

Relationships

Advises (13)

→ P••••• A••• L•••• M••••• F••• L•••Private fundHedge Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ P••••• O••••••••• M••••• F••• L•••Private fundHedge Fund, IA
Sep 24, 2021 to presentfactForm ADV
→ P••••• S•••••••• F••• I• ••••• F••••• L•Private fundReal Estate Fund, IA
Mar 28, 2023 to presentfactForm ADV
→ P••••• S•••••••• F• F••••• 1• L•

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
18 Jun 2026
Ria private fund assets change
••• Locked
Form ADV
down $1.1B
Occurred
18 Jun 2026
Private fund gav change2 events
Private fund gav change: 2 on 18 Jun 2026
down $156M to $801M
- ••• Lockeddown $801M
- ••• Lockeddown $156M
Occurred
18 Jun 2026
Ria principal change4 events
P••••• I••••••••• U• L••: ria principal change, 4 events, on 18 Jun 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
30 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
down $727M
Occurred
15 Aug 2024
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 31, 2021
Last observed: Jun 18, 2026 3 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 13 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••• S•••••••• F••• I• ••••••• F••••• L•	Real Estate Fund	$132,907	Jun 18, 2026	16	Mar 28, 2023	reported	n/a
P••••• S•••••••• F••• I• •••• F••••• L•	Real Estate Fund	$87,363	Jun 18, 2026	6	Mar 28, 2023	reported	021-455171
P••••• S•••••••• F••• I• ••• F••••• L•	Real Estate Fund	$0	Jun 18, 2026	0	Mar 28, 2023	reported	021-455167

All 13 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••• S••••••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
P••••• U• H•••••• C•••••• L••	n/a	n/a	n/a	Y	no	n/a
S•• F••• I• G• L••	n/a	n/a	n/a	Y	no	n/a