DFX Intelligence

A•••••• R••••• I••••••••• 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

A•••••• R••••• I••••••••• L••

CRD 156718

NEW YORK, NY

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Search this name across graphs

Data as of Apr 11, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 3
On other graphs: 2
Observed: Nov 22, 2011 to Apr 11, 2019
17 observations

Across DFX

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

Private Equityidentity

A•••••• R••••• I••••••••• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Real Estate Fundsidentity

A•••••• R••••• I••••••••• L••

Real estate fund 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.6B••• Locked
Discretionary RAUM: $4.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•••••• V• ••••••••• L•	Private Equity Fund	$27.5M	Mar 23, 2016	2	Feb 14, 2012	dropped	n/a
O•••••••• V• ••••••••• L•••	Private Equity Fund	$10.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• G•• L••	GENERAL PARTNER	F	yes	06/2013	Jun 11, 2013	Apr 11, 2019
A•••••• G•• L••	MANAGING MEMBER	Na	yes	06/2013	Jun 11, 2013	Apr 11, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
A•••••• R••••• P••••••• C••••• I• U••	n/a	n/a	n/a	N	yes	n/a
A•••••• R••••• P••••••• V• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$4.6B	$2.5B	86.6%	$3.2B	13.5%	28	26	0	0

Relationships

Advises (16)

→ A•••••• R••••• E••••••• I•••••••• V•••• L•••Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ A••• C••••• I• L•Private fundPrivate Equity Fund, IA
Mar 25, 2015 to presentfactForm ADV
→ A•• V•• ••••••• V••• L•••Private fundPrivate Equity Fund, IA
Mar 23, 2016 to presentfactForm ADV
→ A•••••• R••••• E••••••• I•••••••• V••• L•••

Dated events

Order

Occurred
29 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
$2.1B
Occurred
29 Mar 2019
Control person joined
••• Locked
Form ADV
Occurred
29 Mar 2019
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 22, 2011
Last observed: Apr 11, 2019 90 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.

All 16 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••••• R••••• E••••••• I•••••••• V••• L•••	Private Equity Fund	$21,221	Apr 11, 2019	11	Mar 25, 2015	reported	n/a
A•••••• R••••• E••••••• I•••••••• V•• L•	Private Equity Fund	$21,021	Apr 11, 2019	8	Mar 21, 2013	reported	n/a
A••• C••••• I• L•	Private Equity Fund	$19,320	Apr 11, 2019	11	Mar 25, 2015	reported	n/a
A•••••• M•••• A••••• R••• I•• L••	Private Equity Fund	$0	Apr 11, 2019	128	Mar 28, 2018	reported	021-290103
A•••••• M•••• A••••• R•••• L••	Private Equity Fund	$0	Apr 11, 2019	130	Mar 23, 2016	reported	021-243142
A•••••• R••••• E••••••• I•••••••• V•••• L•••	Private Equity Fund	$0	Apr 11, 2019	17	Mar 29, 2019	reported	n/a

All 14 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• M••••••• W••••••	MANAGING PARTNER, PRESIDENT	Na	yes	03/2007	Nov 22, 2011	Apr 11, 2019
O••••••• J•••• K••••	PARTNER, VICE PRESIDENT	Na	yes	01/2019	Mar 29, 2019	Apr 11, 2019
S••••••••• A•••••• M•••	LIMITED PARTNER, VICE PRESIDENT	C	yes	01/2019	Mar 26, 2012	Apr 11, 2019
S••••••••• A•••••• M•••	PARTNER, VICE PRESIDENT	Na	yes	03/2009	Mar 26, 2012	Apr 11, 2019

All 18 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• 7• S•••••• 7• G•• L••	n/a	n/a	n/a	N	yes	n/a
A•• 7• S•••••• 8• G•• L••	n/a	n/a	n/a	N	yes	n/a
A•• 8• S•••••• 1• G•• L••	n/a	n/a	n/a	N	yes	n/a
A•• 8• S•••••• 2• G•• L••	n/a	n/a	n/a	N	yes	n/a
A•• 8• S•••••• 5• G•• L••	n/a	n/a	n/a	N	yes	n/a
A•• C••••• I• G•• L••	n/a	n/a	n/a	N	yes	n/a
A•• V••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
C••• I••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a