DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

C••• P•••••••• L••

CRD 284627

NEW YORK, NY

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Data as of Mar 28, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 5
On other graphs: 1
Observed: Apr 17, 2017 to Mar 28, 2022
12 observations

Across DFX

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

Private Creditidentity

C••• P•••••••• L••

Private credit manager · key_crd, 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: $278M••• Locked
Discretionary RAUM: $278M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 44
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••• F•••••• L••	Securitized Asset Fund	$461M	Apr 12, 2019	1	Mar 29, 2019	dropped	n/a
B•••••• L••	Securitized Asset Fund	$279M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• T•••• L•••••••	Member	E	yes	11/2014	Apr 17, 2017	Mar 28, 2022
B••••••• L••	Member	C	yes	12/2017	Jan 3, 2018	Mar 28, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• S••••••••• A•••• M••••••••• L••	n/a	Institutional manager	$11B	N	yes	n/a
M•••••• C••••••• L•••	n/a	Asset manager	$8.5B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Paris	n/a	France	6	no
Greenwich	Ct	United States	5	no
WEST HOLLYWOOD	CA	United States	1	no
Charleston	Sc	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 28, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$278M	$14B	-98.0%	$10B	-70.1%	44	42	4	4

Relationships

Affiliated with (3)

→ E••••••• C••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C••• I••••••••• A••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ E••••••• S••••••••• C••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (7)

→ C••• E••••• F•••• L•

Dated events

Occurred
Mar 28, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-13.5B
Occurred
Mar 28, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$3.6B
Occurred
Mar 30, 2018

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 17, 2017
Last observed: Mar 28, 2022 54 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 18 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• I•• J•••• H••••	MANAGING DIRECTOR	Na	yes	03/2017	Apr 17, 2017	Mar 28, 2022
N•• C•••••• L••	Member	E	yes	11/2014	Apr 17, 2017	Mar 28, 2022
S•• I•••••••• L••	Member	E	yes	07/2010	Apr 17, 2017	Mar 28, 2022
Y••••• D•••••• C•••••	Member	C	yes	12/2017	Apr 17, 2017	Mar 28, 2022
Y••••• D•••••• C•••••	Partner	Na	yes	03/2017	Apr 17, 2017	Mar 28, 2022
C••• M••••••••• H•••••••• L••	Member	C	no	12/2017	Jan 3, 2018	Mar 28, 2022
C••• M••••••••• L••	Member	C	no	03/2017	Apr 17, 2017	Mar 28, 2022
S••••••• B•••••••• J•••	DIRECTOR OF FINANCE	Na	no	01/2019	Mar 29, 2019	Mar 28, 2022