DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

R•••••• R•••• A•••• M••••••••• ••• L••

CRD 284256

LONDON

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Search this name across graphsid dfx:ria:9c117cad-2771-d9a5-b91f-5e8b20833e3e

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 48
Dated events: 21
On other graphs: 1
Observed: Feb 5, 2018 to Mar 31, 2026
16 observations

Across DFX

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

Private Creditidentity

R•••••• R•••• A•••• M••••••••• ••• L••

Private credit 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=3.0
Regulatory AUM: $13B••• Locked
Discretionary RAUM: $13B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 67

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• 1• L••• M••••••••• D••••••••• A••••••• C••••••	Securitized Asset Fund	$694M	Mar 28, 2024	1	Mar 29, 2019	reported	n/a
R•• 5• L••• M••••••••• D••••••••• A••••••• C••••••	Securitized Asset Fund	$639M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A• R•• G•• L••	GENERAL PARTNER	F	yes	09/2022	Nov 8, 2022	Mar 28, 2024
A• R••• L•••	LIMITED PARTNER	C	yes	09/2022	Nov 8, 2022	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• R•••• A•••• M••••••••• L••	n/a	Asset manager	$33B	Y	yes	n/a
A• R•• G•• L••	n/a	n/a	n/a	Y	yes	n/a
A• R••• L•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	21	no
London	n/a	United Kingdom	11	no
Charlotte	Nc	United States	7	no
NEW YORK	NY	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$13B	$9.2B	43.4%	$6.1B	29.4%	67	44	5	5

Relationships

Affiliated with (1)

→ R•••••• R•••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Advises (20)

→ R•• 1• L••• M••••••••• D••••••••• A••••••• C••••••Private fundSecuritized Asset Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ R•• 1• L••• M••••••••• D••••••••• A••••••• C••••••Private fundSecuritized Asset Fund, IA
Mar 31, 2023 to presentfactForm ADV

Dated events

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

Occurred
Mar 31, 2026
Regulatory AUM changed
R•••••• R•••• A•••• M••••••••• ••• L•• reported RAUM $13.2B, up 43% from $9.2B (2025-03-31 to 2026-03-31)
Form ADVobserved 7 days ago
$4.0B
Occurred
Mar 31, 2023
Control person joined
J Stefanie Sundel (Chief Compliance Officer) appeared on Schedule A of R•••••• R•••• A•••• M••••••••• ••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
Rose Isabelle Gold (Chief Compliance Officer) no longer on Schedule A of R•••••• R•••• A•••• M••••••••• ••• L•• (listed 2023-01-25, absent 2023-03-31)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c117cad-2771-d9a5-b91f-5e8b20833e3e
First observed: Feb 5, 2018
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.

Controls (25)

← R••••••• S••••••• M•••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 25, 2023 to Mar 28, 2024factForm ADV
← R•••••• R•••• A•••• M••••••••• L••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Feb 5, 2018 to Mar 28, 2024factForm ADV
← G•••••••• J••••• E•••••OwnerDIRECTOR, ownership code NA, individual
Jan 25, 2023 to Mar 28, 2024factForm ADV
← V••••• J••••• E•OwnerDIRECTOR, ownership code NA, individual
Jan 25, 2023 to Mar 28, 2024factForm ADV
← L•••• B•••• E•••OwnerDIRECTOR, ownership code NA, individual
Jan 25, 2023 to Mar 28, 2024factForm ADV
← S•••••• S•••••••• J•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2023 to Mar 28, 2024factForm ADV
← H•••••• K••••••• M••••OwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Nov 8, 2022 to Mar 28, 2024factForm ADV
← C•••••• M••••••• A••••OwnerDIRECTOR, ownership code NA, individual
Jan 25, 2023 to Mar 28, 2024factForm ADV
← E•••• D••••OwnerDIRECTOR, ownership code NA, individual
Jan 25, 2023 to Mar 28, 2024factForm ADV
← T•••••••• A•••••• C••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 25, 2023 to Mar 28, 2024factForm ADV
← A• R•• G•• L••OwnerGENERAL PARTNER, ownership code F, foreign entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← A• R••• L•••OwnerLIMITED PARTNER, ownership code C, foreign entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← A•• A••••••• G•• L••OwnerGENERAL PARTNER, ownership code F, foreign entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← A•• H••••••• •••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← A•• C••••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 29, 2020 to Mar 28, 2024factForm ADV
← A••••• A•••••• A••••••••• A•••••••• L•••OwnerMANAGING MEMBER, ownership code F, foreign entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← A••••• A•••• M••••••••• I•••OwnerSOLE MEMBER, ownership code E, domestic entity
Jan 12, 2022 to Mar 28, 2024factForm ADV
← A••••• G••••• M••••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 29, 2020 to Mar 28, 2024factForm ADV
← A••••• P•••••••• H••••••• I• G•• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← A••••• P•••••••• H••••••• V• G•• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← A••••• P•••••••• H••••••• V•• L•••OwnerLIMITED PARTNER, ownership code F, domestic entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← R•••••• R•••• ••• I••••••••• H••••••• L•••OwnerMEMBER, ownership code E, foreign entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← R•••••• R•••• ••• I••••••••• L••OwnerMANAGING MEMBER, ownership code E, foreign entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← R•••••• R•••• A••••••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Nov 8, 2022 to Mar 28, 2024factForm ADV
← R•••••• R•••• H••••••• L•OwnerSOLE MEMBER, ownership code E, foreign entity
Jan 12, 2022 to Mar 28, 2024factForm ADV