DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M••••• R•••• C•••••• L•

CRD 281538

NEW YORK, NY

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Search this name across graphsid dfx:ria:b782ed06-7680-9790-a4d5-35d039448910

Data as of Sep 8, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 6
On other graphs: 2
Observed: Oct 5, 2015 to Sep 8, 2020
10 observations

Across DFX

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

Private Equityidentity

M••••• R•••• C•••••• L•

Firm · key crd, shared crd

Private Creditidentity

M••••• R•••• C•••••• L•

Credit provider · key crd, shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•• O••••••••• F••• I• L•	Private Equity Fund	$41.5M	Sep 8, 2020	21	Mar 27, 2020	reported	n/a
M••••• R•••• M••••• F••• L•	Hedge Fund	$28.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••••• D•••••• B••••	MANAGING MEMBER	E	yes	02/2015	Oct 5, 2015	Sep 8, 2020
K•••••••• D•••••• B••••	MANAGING PARTNER, PORTFOLIO MANAGER	E	yes	02/2015	Oct 5, 2015	Sep 8, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• R•••• C•••••• G• L••	n/a	n/a	n/a	N	yes	n/a
M•• O••••••••• F••• G• L••	n/a	n/a	n/a	N	yes	n/a
M•• O••••••••• F••• I• C•• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 27, 2020

Relationships

Advises (4)

→ M••••• R•••• M••••• F••• L•Private fundHedge Fund, ERA
Feb 25, 2016 to presentfactForm ADV
→ M•• O••••••••• F••• I• L•Private fundPrivate Equity Fund, ERA
Mar 21, 2017 to presentfactForm ADV
→ M•• O••••••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 27, 2020 to presentfactForm ADV
→ M••••• R•••• S•••••• S••••••••• F••• L•

Dated events

Occurred
Feb 16, 2021
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Mar 19, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$342M
Occurred
Mar 27, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$309M
Occurred
Apr 12, 2017
Ria registration change

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b782ed06-7680-9790-a4d5-35d039448910
First observed: Oct 5, 2015
Last observed: Sep 8, 2020 73 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.