DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

S••••••• A•••• M••••••••• L••

CRD 110687

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:bdf0f8ea-009a-f563-19d1-31c0d999ee58

Data as of Dec 11, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 68
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to Dec 11, 2020
47 observations

Across DFX

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

Private Creditidentity

S••••••• A•••• M••••••••• L••

Private credit manager · 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: $16B••• Locked
Discretionary RAUM: $16B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 99
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••• C•• V•• L••	Securitized Asset Fund	$410M	Apr 24, 2013	9	Mar 30, 2012	dropped	n/a
B•••••• S••••• L••• F•••• L•••	Other Private Fund	$398M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••• F••••••• L••	Shareholder	E	yes	01/2017	Mar 30, 2017	Dec 11, 2020
N••••• H••••••• 1• I•••	Shareholder	E	yes	01/2017	Mar 30, 2017	Dec 11, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A•••••••• L••	n/a	Former SEC adviser	$436B	N	yes	n/a
T•••••••• I••••••••• M••••••••• L••	n/a	Asset manager	$292B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	4	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$16B	$19B	-13.7%	$20B	-6.8%	99	82	1	2

Relationships

Affiliated with (17)

→ N••••• F••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ T••••••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ T•••••••• I••••••••• M••••••••• L••Registered adviser

Dated events

Occurred
Jan 4, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bdf0f8ea-009a-f563-19d1-31c0d999ee58
First observed: Mar 30, 2012
Last observed: Dec 11, 2020 70 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.