DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

P••••••• C•••••• L•

CRD 300897

NEW YORK, NY

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Search this name across graphsid dfx:ria:b18f7e3a-2910-9454-3729-973b6b51065a

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 19
On other graphs: 2
Observed: Mar 6, 2019 to Mar 26, 2026
15 observations

Across DFX

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

Private Equityidentity

P••••••• C•••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

P••••••• C•••••• L•

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=false related_bank=true bd_reps=0.0
Regulatory AUM: $3.5B••• Locked
Discretionary RAUM: $3.5B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 30

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••• C••••••••• I••••••••• F••• I•••• L•••	Private Equity Fund	$1.6B	Mar 26, 2026	3	Mar 30, 2020	reported	021-347839
P••••••• C••••••••• I••••••••• O••••••• F••• I•• S•••	Private Equity Fund	$506M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• C••••••• R••••••	CHIEF FINANCIAL OFFICER	Na	yes	05/2019	Aug 1, 2019	Apr 19, 2024
H•••• I••••••••• A••••••• L••	GENERAL PARTNER	Na	yes	02/2019	Mar 6, 2019	Apr 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• C••••••••• I••••••••• G• L••	n/a	n/a	n/a	N	yes	n/a
P••••••• C••••••••• I••••••••• O••••••• G• 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 26, 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	$3.5B	$2.7B	27.9%	$2.4B	13.4%	30	28	0	0

Relationships

Advises (9)

→ P••••••• C••••••••• I••••••••• 8•• • Q••• F••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ P••••••• D•••••• I••••••••• F••• I••• S•••Private fundPrivate Equity Fund, IA
Mar 26, 2026 to presentfactForm ADV
→ P••••••• D•••••• I••••••••• 8•• • Q••• F••• I••• L•••Private fundPrivate Equity Fund, IA
Mar 26, 2026 to presentfactForm ADV
→ P••••••• H•••••• C•••••••• L•

Dated events

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

Occurred
Mar 26, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$757M
Occurred
Mar 26, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$1.7B
Occurred
Mar 26, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b18f7e3a-2910-9454-3729-973b6b51065a
First observed: Mar 6, 2019
Last observed: Mar 26, 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.