DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

E••••••• C•••••• M••••••••• L••

CRD 120338

E•••••••, IL

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Search this name across graphsid dfx:ria:c824a3a7-8068-575b-5402-89d6808a9216

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 10
On other graphs: 3
Observed: Mar 27, 2012 to Mar 27, 2026
24 observations

Across DFX

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

Private Equityidentity

E••••••• C•••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

E••••••• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

E••••••• C•••••• 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=2.0
Regulatory AUM: $4.5B••• Locked
Discretionary RAUM: $4.5B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• W••••••••• F••• I• L•••	Hedge Fund	$3.7B	Mar 27, 2024	530	Mar 27, 2012	reported	021-61565
P••••• L•••••• P•••••••• L•	Other Private Fund	$187M	Mar 27, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• B• B•••• R•••••••• T•••• A•• B•••• G•• I•••••••• T••••	LIMITED PARTNER	C	yes	03/2020	Mar 27, 2020	Mar 27, 2024
A••••••• J•••• P••••	Chairman	Na	yes	04/2023	Mar 29, 2023	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•• B••••••••• F••• I• G• L••	n/a	n/a	n/a	Y	no	n/a
E••••••• C•••••• G•• L••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$4.5B	$4.2B	6.3%	$4.6B	-0.6%	28	29	0	0

Relationships

Advises (12)

→ E••••••• A•••• S••••••••• F••• L•••Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ C••••••••• F••• L•••Private fundHedge Fund, IA
Mar 27, 2018 to presentfactForm ADV
→ E••••••• H•••• P••••••• L•••Private fundHedge Fund, IA
Mar 30, 2021 to presentfactForm ADV
→ E•• B••••••••• F••• I• L•Private fund

Dated events

Occurred
Mar 29, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c824a3a7-8068-575b-5402-89d6808a9216
First observed: Mar 27, 2012
Last observed: Mar 27, 2026 6 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.

Controls (13)

← A••••••• J•••• P••••OwnerCHAIRMAN, ownership code NA, individual
Mar 29, 2023 to Mar 27, 2024factForm ADV
← B••••• A•••• B•OwnerTRUSTEE, ownership code F, individual
Mar 27, 2012 to Mar 27, 2024factForm ADV
← Z••••••••• S••••• R•••OwnerGENERAL COUNSEL, ownership code NA, individual
Mar 27, 2012 to Mar 27, 2024factForm ADV
← D••••••••• L••••• A••OwnerHEAD OF STRATEGIC BUSINESS DEVELOPMENT, ownership code NA, individual
Jan 15, 2015 to Mar 27, 2024factForm ADV
← M••••••• K••••••• A•••OwnerFOUNDING PARTNER - PRESIDENT AND COO, ownership code NA, individual
Mar 27, 2012 to Mar 27, 2024factForm ADV
← C•••••• R•••• D••••••OwnerFOUNDING PARTNER - BUSINESS DEVELOPMENT AND CLIENT SERVICE, ownership code NA, individual
Mar 27, 2012 to Mar 27, 2024factForm ADV
← L••••••• M••••••• L•••••OwnerCHIEF COMPLIANCE OFFICER AND ASSOCIATE GENERAL COUNSEL, ownership code NA, individual
Mar 27, 2012 to Mar 27, 2024factForm ADV
← K••• K••••••• V••••••••OwnerDEPUTY CIO, ownership code NA, individual
Mar 26, 2015 to Mar 27, 2024factForm ADV
← B••••• E•••OwnerTRUSTEE, ownership code F, individual
Mar 27, 2020 to Mar 27, 2024factForm ADV
← L••••• B••••• L•OwnerCFO, ownership code NA, individual
Mar 30, 2021 to Mar 27, 2024factForm ADV
← A••• B• B•••• R•••••••• T•••• A•• B•••• G•• I•••••••• T••••OwnerLIMITED PARTNER, ownership code C, domestic entity
Mar 27, 2020 to Mar 27, 2024factForm ADV
← E•• H•••••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 27, 2020 to Mar 27, 2024factForm ADV
← E••••••• C•••••• M••••••••• L•••OwnerMEMBER, ownership code E, domestic entity
Mar 27, 2020 to Mar 27, 2024factForm ADV