DFX Intelligence

Data Factory

H•••••• K••••••• A•••• M••••••••• 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 advisermixed wealth managerSEC registeredRAUM 1b 10b

H•••••• K••••••• A•••• M••••••••• L••

CRD 106096

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:c238e837-3713-3686-3e8d-db99c88350e6

Data as of Jul 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 47
Dated events: 8
On other graphs: 3
Observed: Mar 30, 2012 to Jul 7, 2026
36 observations

Across DFX

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

Private Equityidentity

H•••••• K••••••• A•••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

H•••••• K••••••• A•••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

H•••••• K••••••• 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: mixed wealth managerderivedprivate_client_share=0.27 fund_share=0.6 institutional_share=0.01 related_bd=true related_bank=false bd_reps=23.0
Regulatory AUM: $9.6BItem 5.F on the latest filing (2026-07-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.5B
Private client RAUM: $2.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 27%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• B••••••	n/a	NEW YORK, NY	32	31	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 27

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H•••••• K••••••• E••••• O••••••••• F••• L•	Hedge Fund	$622M	Jul 7, 2026	1,021	Mar 30, 2012	reported	021-175503
P••••••• F••• L•	Hedge Fund	$412M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• S•••••	CO-CHIEF EXECUTIVE OFFICER	Na	yes	04/2026	Jul 7, 2026	Jul 7, 2026
D••••• P••••• B••••••	CO-CHIEF EXECUTIVE OFFICER ELECTED MANAGER AND SECRETARY	Na	yes	04/2026	Jul 7, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••• D•••••• A•••••••• L••	n/a	n/a	n/a	Y	yes	n/a
K•• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	2	no
Summit	Nj	United States	1	no
WHITE PLAINS	NY	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$9.6B	$9.8B	-2.3%	$7.9B	6.8%	80	84	3	3

Relationships

Advises (24)

→ K••••••• I••••••••• P••••••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ H•••••• M••••••••• F••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ P••••••• O••••••• F••• L••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ H• L••••••• I••••• O••••••••• F••• L••

Dated events

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

Occurred
Mar 31, 2026
Advisor headcount changed
H•••••• K••••••• A•••• M••••••••• L•• reported 6 state-registered advisory representatives, down from 16 (2025-03-28 to 2026-03-31)
Form ADVobserved 7 days ago
-10 IARS
Occurred
Mar 28, 2025
Regulatory AUM changed
H•••••• K••••••• A•••• M••••••••• L•• reported RAUM $9.8B, up 51% from $6.5B (2024-03-28 to 2025-03-28)
Form ADVobserved 7 days ago
$3.3B
Occurred
Mar 31, 2022
Regulatory AUM changed
H•••••• K••••••• A•••• M••••••••• L•• reported RAUM $6.8B, up 40% from $4.9B (2021-03-31 to 2022-03-31)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c238e837-3713-3686-3e8d-db99c88350e6
First observed: Mar 30, 2012
Last observed: Jul 7, 2026 2 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.

2025	Apr 15, 2026	$9.6B	$9.5B	80	20	3	22	n/a
2024	Mar 28, 2025	$9.8B	$9.5B	84	21	3	20	n/a
2023	Mar 28, 2024	$6.5B	$6.3B	77	21	3	19	$1.0B
2022	Mar 31, 2023	$7.9B	$7.7B	75	18	3	19	$969M
2021	Mar 31, 2022	$6.8B	$6.6B	78	18	3	20	$1.0B
2020	Mar 31, 2021	$4.9B	$4.6B	77	18	3	20	$770M
2019	Mar 30, 2020	$5.3B	$5.1B	82	18	3	19	$561M
2018	Mar 29, 2019	$3.0B	$2.8B	83	18	3	16	$351M
2017	Mar 29, 2018	$3.9B	$3.5B	79	18	3	16	$435M
2016	Mar 29, 2017	$3.5B	$3.3B	80	18	n/a	16	$380M
2015	Mar 30, 2016	$3.6B	$3.4B	82	18	n/a	16	$442M
2014	Mar 31, 2015	$5.2B	$4.9B	81	21	n/a	16	$671M
2013	Apr 2, 2014	$5.4B	$5.4B	81	21	n/a	16	$567M
2012	Mar 28, 2013	$4.2B	$4.2B	81	21	n/a	16	$531M
2011	Mar 30, 2012	$4.1B	$4.1B	n/a	n/a	n/a	15	$499M