DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

O••••• G••• M••••••••• L••

CRD 297061

GREENWICH, CT

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Search this name across graphsid dfx:ria:b68523ce-550b-87b6-1b7d-91a14b7f8086

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 6
On other graphs: 1
Observed: Nov 16, 2021 to Mar 27, 2026
7 observations

Across DFX

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

Private Equityidentity

O••••• G••• M••••••••• L••

Private equity manager · 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=false bd_reps=1.0
Regulatory AUM: $90.9M••• Locked
Discretionary RAUM: $90.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••••• G••• M••••• F•••• L••	Hedge Fund	$90.9M	Mar 27, 2026	16	Nov 20, 2018	reported	021-325967
O••••• B••••• I• L••• C•••• D•	Private Equity Fund	$56.9M	Mar 27, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• J•••••••• H•••••	MANAGING MEMBER	D	yes	12/2002	Nov 16, 2021	Mar 27, 2024
C••••• J•••••••• H•••••	CHIEF EXECUTIVE OFFICER	Na	yes	03/2018	Nov 16, 2021	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••• L••• M••••••••• L••	n/a	Asset manager	$2.3B	N	yes	n/a
O••••• S••••• M••••••••• L••	n/a	Asset manager	$307M	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 27, 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	$90.9M	$156M	-41.8%	$220M	-25.5%	23	24	0	0

Relationships

Affiliated with (6)

→ O••••• S••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ O••••• L••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ O••••• P••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← O••••• S••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control

Dated events

Occurred
Mar 27, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-158M
Occurred
Mar 27, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$3.0M
Occurred
Mar 27, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$33.0M
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b68523ce-550b-87b6-1b7d-91a14b7f8086
First observed: Nov 16, 2021
Last observed: Mar 27, 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.