DFX Intelligence

S•••• R• I••••••••• S••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S•••• R• I••••••••• S••••••••• I•••

CRD 318811

NEW YORK, NY

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Search this name across graphsid dfx:ria:9d8490e7-1b3d-f86e-a253-e22dc0cd8506

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 9
On other graphs: 1
Observed: Jun 14, 2022 to Aug 18, 2026
21 observations

Across DFX

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

Independent Sponsorsidentity

S•••• R• I••••••••• I••••••••• A••••••• C•••••••••

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=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0
Regulatory AUM: $4.9B••• Locked
Discretionary RAUM: $4.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•• C•••••• F•••• A• S••••••••• A•••••• O• 1••• F••• L••	Other Private Fund	$2.0B	Aug 20, 2024	1	Jun 14, 2022	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• M••••••••• N••	CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER	Na	yes	06/2022	Jun 14, 2022	Aug 20, 2024
K••••••• A•••••• F•••••	MEMBER OF BOARD OF DIRECTORS	Na	yes	06/2022	Jun 14, 2022	Aug 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• R• C•••••• M•••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a
S•••• R• C•••••• M•••••• E••••• S•••	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
2025	Mar 12, 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	$4.9B	$2.1B	138.8%	$1.1B	65.9%	21	19	0	0

Relationships

Advises (1)

→ I•• C•••••• F•••• A• S••••••••• A•••••• O• 1••• F••• L••Private fundOther Private Fund, IA
Jun 14, 2022 to presentfactForm ADV

Controls (13)

← R•••• J•••••••• L•••••••••OwnerMEMBER OF BOARD OF DIRECTORS, ownership code NA, individual
Jun 14, 2022 to Aug 20, 2024factForm ADV
← T••••••• K••••• M••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 17, 2023 to Aug 20, 2024factForm ADV
← W•••••••• L••••• A•••Owner

Dated events

Occurred
Jan 15, 2026
Regulatory AUM changed
S•••• R• I••••••••• S••••••••• I••• reported RAUM $4.9B, up 34% from $3.6B (2025-10-10 to 2026-01-15)
Form ADVobserved 7 days ago
$1.2B
Occurred
Jun 6, 2025
Regulatory AUM changed
S•••• R• I••••••••• S••••••••• I••• reported RAUM $3.6B, up 75% from $2.1B (2025-02-25 to 2025-06-06)
Form ADVobserved 7 days ago
$1.6B
Occurred
Jul 26, 2024
Control person joined
Li P••• S•••••• Tan (Chief Legal Officer) appeared on Schedule A of S•••• R• I••••••••• S••••••••• I•••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d8490e7-1b3d-f86e-a253-e22dc0cd8506
First observed: Jun 14, 2022
Last observed: Aug 18, 2026 35 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.