DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

S••••••• A••••••• L••

CRD 319598

NEW YORK, NY

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Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 20
On other graphs: 0
Observed: May 26, 2022 to Aug 19, 2026
14 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

S••••••• C•••••• L•

owned by this firm per Schedule A, named with its CRD in Item 7.A · confidence 90% · family precision 100%

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: $989M••• Locked
Discretionary RAUM: $989M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 334

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• H••••• I• L•	L•••••• P•••••• O• S••••••• C•••••• L•	E	yes	11/2023	Dec 13, 2023	Nov 18, 2024
C••••• W••••• N•••••	CHIEF OPERATING OFFICER	Na	yes	04/2022	May 26, 2022	Nov 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• C•••••• L•	n/a	Asset manager	$53B	Y	no	n/a
C••••• L•••	n/a	n/a	n/a	N	yes	n/a
L•••••• L•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	25	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 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	$989M	$797M	24.2%	$151M	87.3%	334	322	1	1

Relationships

Affiliated with (4)

← R•• G• M•••••• L••Registered adviserother investment adviser, common control
factForm ADV
← R•••• C•••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S••••••• C•••••• L•Registered adviserother investment adviser, control
factForm ADV
← S••••••• C•••••• L•Registered adviserother investment adviser, control

Dated events

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

Occurred
Aug 19, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Aug 19, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Aug 19, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 26, 2022
Last observed: Aug 19, 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.

All 13 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• R••• E••••• A••••••• L•	MANAGING MEMBER	E	yes	04/2022	May 26, 2022	Nov 18, 2024
S••••••• R••• E••••• G• L••	GENERAL PARTNER	F	yes	11/2003	May 26, 2022	Nov 18, 2024
K•••••••• C••••••• M•••	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, CHIEF LITIGATION AND REGULATORY COUNSEL	Na	no	05/2024	May 30, 2024	Nov 18, 2024

All 40 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• A••••••• 2•••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• C•••••• A••••••• I• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• C•••••• A••••••• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• C•••••• I• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• C•••••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• C•••••• M••••••••• E••••• L••••••	n/a	n/a	n/a	N	yes	n/a
S••••••• C•••••• M••••••••• H••• K••• L••••••	n/a	n/a	n/a	N	yes	n/a
S••••••• C•• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• C•• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• C••••• O••••••••• C••••••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• C••••• O••••••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• C••••• O••••••••• F••• G•• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• C••••• O••••••••• O••••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• C••••• O••••••••• O••••••• F••• G•• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• D••••••••• R••• S•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• D••••••••• R••• S•••••• L•••••• P•••••• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• E••••• L••• M••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
S••••••• I••••••••• I••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• I••••••••• I••••• F••• G•• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• I••••••••• I••••• O••••••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• I••••••••• I••••• O••••••• F••• G•• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• L••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• L••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• L••• M••••••••• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• L•••• A••••••• 2•••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• R••• E••••• A••••••••• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• R••• E••••• A••••••• L•	n/a	n/a	n/a	N	yes	n/a
S••••••• R••• E••••• C•••••• I• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• R••• E••••• C•••••• I• L•	n/a	n/a	n/a	Y	no	n/a
S••••••• R••• E••••• C•••••• I•• L••	n/a	n/a	n/a	N	yes	n/a