DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

L••• P•••• C••••••• I••

CRD 163061

NEW YORK, NY

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Search this name across graphsid dfx:ria:c9d5cbe2-f5cc-8510-3435-970f80693fac

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 7
On other graphs: 3
Observed: Jun 27, 2013 to Mar 30, 2026
23 observations

Across DFX

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

Venture Capitalidentity

L••• P•••• C••••••• I••

Venture manager · shared crd

Independent Sponsorsidentity

L••• P•••• C••••••• I••

Capital provider to sponsors · shared crd

Private Equityidentity

L••• P•••• C••••••• I••

Private equity 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=false bd_reps=0.0
Regulatory AUM: $214M••• Locked
Discretionary RAUM: $214M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• S••••• G•••• H•••••••• I•••	Private Equity Fund	$67.1M	Mar 30, 2015	6	Apr 1, 2013	dropped	n/a
M•• I••••••••• L••	Private Equity Fund	$57.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• I••• ••••	P•••••••• O• L••• P•••• C••••••• I••	D	yes	09/1997	Jun 27, 2013	Mar 21, 2024
V•• S••••• E•••• S••••••	V••• P•••••••• O• L••• P•••• C••••••• I•••	D	yes	11/2014	Jun 27, 2013	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• I•••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
L••• P•••• C•••••• P••••••• I••• L•••	n/a	n/a	n/a	N	yes	n/a
L••• P•••• C•••••• P••••••• I•• L•	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	$214M	$219M	-2.4%	$261M	-6.5%	6	6	0	0

Relationships

Advises (16)

→ L••• P•••• C•••••• F••• I••• L•••Private fundPrivate Equity Fund, IA
Jan 8, 2015 to presentfactForm ADV
→ C••••••••• I••••••••• L•Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ L••• P•••• C•••••• C••••••••• F••• I••• L•••Private fundPrivate Equity Fund, IA
Jan 8, 2015 to presentfactForm ADV
→ L••• P•••• C•••••• F••• I• L•

Dated events

Occurred
Mar 30, 2026
Private fund no l•••er reported
••• Locked
Form ADVobserved today
$137,500
Occurred
Mar 30, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$43.3M
Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-162M
Occurred
Mar 30, 2021

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9d5cbe2-f5cc-8510-3435-970f80693fac
First observed: Jun 27, 2013
Last observed: Mar 30, 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.