DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S•••• P•••• L••• L••

CRD 128132

NEW YORK, NY

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Search this name across graphsid dfx:ria:a1834bc3-303d-fc6f-4f2a-35bedb25dd97

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 87
Dated events: 26
On other graphs: 3
Observed: Mar 30, 2012 to Mar 31, 2026
66 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

S•••• P•••• L••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S•••• P•••• L••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

S•••• P•••• L••• L••

Private credit manager · shared crd

Private Equityowner

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: $10B••• Locked
Discretionary RAUM: $10B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 39

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••••••••• A••••• S•• R•••	Hedge Fund	$780M	Feb 21, 2014	3	May 24, 2013	dropped	n/a
B••••••••• C•• 2••••• L•••	Securitized Asset Fund	$576M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• G••••••• L•••	Shareholder	E	yes	02/2004	Oct 31, 2019	Aug 29, 2024
A•••••• G••••••• U• H••••••• I•••	L•••••• PARTNER	C	yes	07/2023	Oct 31, 2019	Aug 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• P•••• C•••••• L••	n/a	ASSET_M••••••	$68B	N	yes	n/a
S•••• P•••• M••••••• M••••••••• C•••••• L••	n/a	ASSET_M••••••	$478M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Greenwich	Ct	United States	4	no
SAN FRANCISCO	CA	United States	1	no
WEST PALM BEACH	FL	United States	0	no
London	n/a	United Kingdom	0	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	$10B	$11B	-10.3%	$17B	-15.1%	39	44	4	4

Relationships

showing 80 of 87

Affiliated with (8)

← S•••• P•••• C••••••••• R••• E••••• F•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•••• P•••• C•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•••• P•••• M••••••• M••••••••• C•••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S•••• P•••• C•••••• M••••••••• L•

Dated events

Occurred
Jul 28, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 28, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 28, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 28, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1834bc3-303d-fc6f-4f2a-35bedb25dd97
First observed: Mar 30, 2012
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.