DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

O••• I••••••••• M••••••••• L••

CRD 316847

NEW YORK, NY

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Search this name across graphs

Data as of Jul 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 20
On other graphs: 4
Observed: Mar 19, 2022 to Jul 31, 2026
17 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

••• Locked

Dated 2026-07-31 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

Advisor Recruiting IntelligenceJul 31, 2026 · seen 8 days ago

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Venture Capitalidentity

O••• I••••••••• M••••••••• L••

Venture manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

O••• I••••••••• M••••••••• L••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Equityidentity

O••• I••••••••• M••••••••• L••

Private equity manager · key_crd, key_sfn_adviser, 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: $929M••• Locked
Discretionary RAUM: $734M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $929Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••••• J•••••• C••••	Certified Financial Planner	NEW YORK, NY	0	13	3	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••• A••••••••• I••••••••• E•••• S•••• V•••••• F••• L•	Venture Capital Fund	$72.3M	Jul 31, 2026	139	Jun 10, 2024	reported	021-502321
K• G••••• F••• I• L•	Private Equity Fund	$27.5M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• M••••••• D••••	President	Na	yes	03/2021	Mar 19, 2022	Dec 6, 2024
O••• I••••••••• I•••	Owner	E	yes	03/2021	Mar 29, 2023	Dec 6, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••• B•••••• G• 2•••• L••	n/a	n/a	n/a	N	yes	n/a
O••• C••••• G• 2•••• L••	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 30, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

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	$929M	$234M	297.5%	$76.3M	130.0%	14	15	0	0

Relationships

Advises (29)

→ C•• D••••••• A••••• F•••• L•Private fundOther Private Fund, IA
Jun 10, 2024 to presentfactForm ADV
→ O••• A••••••••• I••••••••• E•••• S•••• V•••••• F••• L•Private fundVenture Capital Fund, IA
Jun 10, 2024 to presentfactForm ADV
→ N•••••••• • P••••••• L•Private fundReal Estate Fund, IA
Jul 31, 2026 to presentfactForm ADV
→ 2••• V•• L•

Dated events

Order

Occurred
31 Jul 2026
Private fund first reported14 events
Private fund first reported: 14 on 31 Jul 2026
$460K to $27.0M
- ••• Locked$27.0M
- ••• Locked$14.1M
- ••• Locked$12.2M
Occurred
31 Jul 2026
Ria private fund assets change
••• Locked
Form ADV
$168M
Occurred
31 Jul 2026
Regulatory AUM changed
••• Locked
Form ADV
$363M
Occurred
30 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$194M
Occurred
12 Sep 2025
Regulatory AUM changed
••• Locked
Form ADV
$137M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 19, 2022
Last observed: Jul 31, 2026 54 days 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 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•• P•••••• M•••••• F••• I• L•	Private Equity Fund	$13.6M	Jul 31, 2026	56	Oct 16, 2024	reported	021-514258
N•••••••• • P••••••• L•	Real Estate Fund	$12.2M	Jul 31, 2026	31	Jul 31, 2026	reported	021-552467
C••••• O••••••••• F••• 2•••• L•	Private Equity Fund	$12.0M	Jul 31, 2026	11	Jul 31, 2026	reported	021-537318
K• R••• A•••• F••• I• L•	Private Equity Fund	$11.5M	Jul 31, 2026	4	Jul 31, 2026	reported	021-556339
L•• H••• V• L••	Securitized Asset Fund	$10.9M	Jul 31, 2026	8	Aug 16, 2022	reported	021-475048
I••••••••• C•••••• P••••••• O••••• F•••• L•	Private Equity Fund	$9.6M	Jul 31, 2026	17	Jul 31, 2026	reported	021-527112
D•••••• F••• I• L•	Private Equity Fund	$9.3M	Jul 31, 2026	46	Jul 31, 2026	reported	021-536376
L•• S•• I• L••	Private Equity Fund	$8.7M	Jul 31, 2026	6	Aug 16, 2022	reported	021-483490
L•• V•••• E••••• P••••••• V•••• L••	Private Equity Fund	$7.7M	Jul 31, 2026	9	Aug 16, 2022	reported	021-461188
N•••••••• • R••• E••••• O••••••••• F••• L•	Real Estate Fund	$7.4M	Jul 31, 2026	32	Jul 31, 2026	reported	021-539411
F•••••• C•••••• C•••••••• F••• I• L•	Private Equity Fund	$6.6M	Jul 31, 2026	44	Jul 31, 2026	reported	021-556335
L•• T•• I•• L••	Real Estate Fund	$6.5M	Jul 31, 2026	3	Aug 16, 2022	reported	021-461187
N•••••••• • 2•• B•• L•	Private Equity Fund	$6.2M	Jul 31, 2026	39	Jul 31, 2026	reported	021-55216
L•• H• I•• L••	Private Equity Fund	$4.2M	Jul 31, 2026	6	Aug 16, 2022	reported	021-475054
N•••••••• • 2•• B•• F••••• F••• L•	Private Equity Fund	$1.4M	Jul 31, 2026	17	Jul 31, 2026	reported	021-552341