DFX Intelligence

V•••• C••••• B•• M••••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

V•••• C••••• B•• M••••••••• L•••

CRD 326611

NEW YORK, NY

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Search this name across graphsid dfx:ria:a311afa1-72ce-90b4-2631-00c570a272fa

Data as of Jun 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 10
On other graphs: 1
Observed: Jun 21, 2023 to Jun 4, 2026
8 observations

Across DFX

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

Private Creditidentity

V•••• C••••• B•• M••••••••• L•••

Private credit manager · key 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=0.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• D•••• D••••••••• H•••••• C•••••• P•••	SOLE SHAREHOLDER	E	yes	01/2024	Jan 13, 2024	Mar 27, 2024
A•• D•••• G•••••••••	SOLE SHAREHOLDER	E	yes	09/2023	Jan 13, 2024	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V•••• E••••• P••••••• M••••••••• L••	n/a	Asset manager	$106B	Y	yes	n/a
V•••• C••••• P•••••••• L•••	n/a	Asset manager	$8.4B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	5	no
SAN FRANCISCO	CA	United States	2	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	$1.8B	$1.2B	54.2%	n/a	n/a	0	0	2	2

Relationships

Affiliated with (4)

← V•••• E••••• P••••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← V•••• C••••• P•••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ V•••• E••••• P••••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ V•••• C••••• P•••••••• L•••

Dated events

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

Occurred
Jun 4, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jun 4, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jun 4, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a311afa1-72ce-90b4-2631-00c570a272fa
First observed: Jun 21, 2023
Last observed: Jun 4, 2026 3 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 (17)

← R•••••• G•••• G•••••OwnerGLOBAL HEAD OF COMPLIANCE, ownership code NA, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← F•••••••• D••••• J•••OwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← S••••• R•••••• F••••••••OwnerMANAGING MEMBER OF V•• G••••• L••, ownership code E, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← G•••••••• G••••••• T•••••OwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← S•••••••• A•••• G••••••OwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← B••••• K••••••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← B•••••• D••••• A•••••OwnerPRESIDENT, ownership code NA, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← D••••••• L•••••• B••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 21, 2023 to Mar 27, 2024factForm ADV
← A•• D•••• D••••••••• H•••••• C•••••• P•••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jan 13, 2024 to Mar 27, 2024factForm ADV
← A•• D•••• G•••••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jan 13, 2024 to Mar 27, 2024factForm ADV
← A•• C•••••• V•••••• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 27, 2024 to Mar 27, 2024factForm ADV
← A•• C•••••• V••••••• L••••• I• L••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 27, 2024 to Mar 27, 2024factForm ADV
← A•• D••••••••• H•••••• L••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 27, 2024 to Mar 27, 2024factForm ADV
← L••••• L••••• I• L•OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 27, 2024 to Mar 27, 2024factForm ADV
← S••••••• P•••••• F•••• H••••••• I• R•• L••OwnerMEMBER, ownership code E, foreign entity
Jan 13, 2024 to Mar 27, 2024factForm ADV
← V•• G••••• L••OwnerINITIAL MEMBER OF V•••• C••••• G• H•••••• L••, ownership code F, domestic entity
Jun 21, 2023 to Mar 27, 2024factForm ADV
← V•••• C••••• G• H•••••• L••OwnerGENERAL PARTNER, ownership code E, domestic entity
Jun 21, 2023 to Mar 27, 2024factForm ADV