DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

K•••••• L•••• C•••••• H••••••• L••

CRD 324025

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c180003d-27ed-fef2-14f7-4d7813588bd9

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 10
On other graphs: 2
Observed: Oct 27, 2022 to Mar 31, 2026
8 observations

Across DFX

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

Allocatorsidentity

K•••••• L•••• C•••••• H••••••• L••

Manager with allocator commitments · key crd

Private Creditidentity

K•••••• L•••• C•••••• H••••••• L••

Private credit manager · key 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=true related_bank=true bd_reps=0.0
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: 144

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D••••	Manager	Na	yes	06/2023	Mar 29, 2024	Apr 29, 2024
C••••• D••••• K••••••	Manager	F	yes	01/2017	Oct 27, 2022	Apr 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••• L•••• M••••••••• L•	n/a	Asset manager	$12B	N	yes	n/a
G••••••• A•••••••• L••	n/a	Asset manager	$9.4B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Miami	FL	United States	10	no
Geneva	n/a	Switzerland	4	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 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	$1.2B	$870M	33.1%	$145M	99.7%	144	119	2	2

Relationships

Affiliated with (4)

← K•••••• L•••• M••••••••• L•Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ K•••••• L•••• M••••••••• L•Registered adviserother investment adviser, bank, common control
factForm ADV
→ K•••••• L•••• L••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← K•••••• L•••• L••• M••••••••• L••Registered adviser

Dated events

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

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$288M
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c180003d-27ed-fef2-14f7-4d7813588bd9
First observed: Oct 27, 2022
Last observed: Mar 31, 2026 5 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.