DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

I••••••••• O••••••••• P•••••••• L••

CRD 156994

EVANSTON, IL

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Search this name across graphs

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 2
Observed: Feb 14, 2012 to Mar 16, 2026
16 observations

Across DFX

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

Private Equityidentity

I••••••••• O••••••••• P•••••••• L••

Private equity manager · same CRD, same SEC file number

Independent Sponsorsidentity

I••••••••• O••••••••• P•••••••• L••

Capital provider to sponsors · same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderived••• Locked
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I••••••••• O••••••••• P••••••• I•• L•••	Private Equity Fund	$726M	Mar 16, 2026	38	Mar 14, 2022	reported	021-431570
I••••••••• O••••••••• P••••••• I••• L•••	Private Equity Fund	$583M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• M••••••• J•••••	CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER	Na	yes	02/2006	Feb 14, 2012	Mar 15, 2024
T••••••••• K••••••• M•••	Member	D	yes	02/2005	Feb 14, 2012	Mar 15, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••••••••• O••••••••• P••••••• I• G• L••	n/a	n/a	n/a	Y	yes	n/a
I••••••••• O••••••••• P••••••• I•• G•• L••	n/a	n/a	n/a	Y	yes	n/a
I••••••••• O••••••••• P••••••• I• G•• L••

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	$1.3B	$1.3B	-0.5%	$1.2B	4.8%	20	19	0	0

Relationships

Advises (5)

→ I••••••••• O••••••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 12, 2013 to presentfactForm ADV
→ I••••••••• O••••••••• P••••••• I••• L•••Private fundPrivate Equity Fund, IA
Mar 14, 2018 to presentfactForm ADV
→ I••••••••• O••••••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 14, 2022 to presentfactForm ADV
→ I•• A••••••••• F•••• L•

Dated events

Order

Occurred
14 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$601M
Occurred
14 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
$515M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Mar 16, 2026 6 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 11, 2016	$561M	$561M	10	10	n/a	3	$561M
2014	Mar 6, 2015	$473M	$473M	9	9	n/a	3	$473M
2013	Mar 6, 2014	$542M	$542M	9	9	n/a	3	$542M
2012	Mar 12, 2013	$485M	$485M	9	9	n/a	3	$222M