DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

P•••••••• H••••••• M••••••••• L••

CRD 321623

NEW YORK, NY

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Search this name across graphsid dfx:ria:cf3b9931-5566-a8f4-4766-4cc6e74ed231

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 3
On other graphs: 2
Observed: Apr 29, 2022 to Mar 31, 2026
7 observations

Across DFX

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

Private Equityidentity

P•••••••• H••••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

P•••••••• H••••••• M••••••••• L••

Capital provider to sponsors · 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: $37.2M••• Locked
Discretionary RAUM: $37.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••••• H••••••• F•••• L•••	Private Equity Fund	$31.5M	Mar 31, 2026	21	Mar 31, 2023	reported	021-463079
P•••••••• H••••••• ••••••••• F•••• L•••	Private Equity Fund	$1.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• K••••••••• A•••	CHIEF EXECUTIVE OFFICER	Na	yes	02/2022	Apr 29, 2022	Oct 15, 2024
L•••••• K••••••••• A•••	MANAGING MEMBER	D	yes	08/2022	Apr 29, 2022	Oct 15, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••••• E••••• P••••••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
P•••••••• H••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	0	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$37.2M	$39.5M	-6.0%	$34.3M	2.7%	2	4	1	1

Relationships

Advises (2)

→ P•••••••• H••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ P•••••••• H••••••• ••••••••• F•••• L•••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV

Controls (9)

← L•••••• K••••••••• A•••OwnerMANAGING MEMBER, ownership code D, individual
Apr 29, 2022 to Oct 15, 2024factForm ADV
← M•••••••• N••••• A••

Dated events

Occurred
Oct 15, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 15, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 29, 2022
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cf3b9931-5566-a8f4-4766-4cc6e74ed231
First observed: Apr 29, 2022
Last observed: Mar 31, 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.