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H••••••••• R•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

H••••••••• R•••••• M••••••••• L••

CRD 169355

NEW YORK, NY

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Search this name across graphsid dfx:ria:99831ac8-382a-c9a5-0f25-64188df0e86f

Data as of Aug 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 4
On other graphs: 2
Observed: Mar 17, 2014 to Aug 17, 2026
21 observations

Across DFX

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

Private Equityidentity

H••••••••• R•••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

H••••••••• R•••••• M••••••••• 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=0.93 institutional_share=0.07 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $3.8B••• Locked
Discretionary RAUM: $3.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H••• I••••••••• H•••••• L•••	Private Equity Fund	$1.3B	Mar 27, 2024	1	Mar 31, 2023	reported	n/a
H••• I••••••••• H•••••• L•••	Private Equity Fund	$1.3B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• I••••••••• M••••••••• L••	Member	C	yes	03/2023	Mar 31, 2023	Mar 27, 2024
F••••• C•••••• B••••••	Member	E	yes	11/2007	Mar 17, 2014	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• I••••••••• A•••••••• L••	n/a	Former SEC adviser	$489M	N	yes	n/a
A•• E•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	1	no

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	$3.8B	$3.3B	13.4%	$3.4B	3.1%	23	23	4	3

Relationships

Affiliated with (12)

→ RAMIUS ADVISORS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← RAMIUS ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← C•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← CHI ADVISORS LLCRegistered adviserother investment adviser, common control

Dated events

Occurred
Mar 27, 2020
Regulatory AUM changed
H••••••••• R•••••• M••••••••• L•• reported RAUM $3.5B, up 40% from $2.5B (2019-03-26 to 2020-03-27)
Form ADVobserved 7 days ago
$999M
Occurred
Mar 26, 2019
Regulatory AUM changed
H••••••••• R•••••• M••••••••• L•• reported RAUM $2.5B, up 38% from $1.8B (2018-03-27 to 2019-03-26)
Form ADVobserved 7 days ago
$692M
Occurred
Mar 27, 2018
Regulatory AUM changed
H••••••••• R•••••• M••••••••• L•• reported RAUM $1.8B, down 30% from $2.6B (2017-03-24 to 2018-03-27)
Form ADVobserved 7 days ago
$-798M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99831ac8-382a-c9a5-0f25-64188df0e86f
First observed: Mar 17, 2014
Last observed: Aug 17, 2026 36 days 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.