DFX Intelligence

C•• C••••• P••••••• U••• 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

C•• C••••• P••••••• U••• C•• M••••••••• L••

CRD 284980

NEW YORK, NY

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Search this name across graphsid dfx:ria:daec5a19-f135-c427-ed9e-269ba2160494

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 16
On other graphs: 1
Observed: Jan 9, 2017 to Aug 26, 2026
23 observations

Across DFX

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

Private Creditidentity

C•• C••••• P••••••• U••• 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=true related_bank=true bd_reps=1.0
Regulatory AUM: $2.3B••• Locked
Discretionary RAUM: $2.3B
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
A••••• C•• X•••••	Securitized Asset Fund	$709M	Aug 1, 2024	0	Mar 29, 2018	reported	n/a
A••••• C•• X••	Securitized Asset Fund	$637M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• G•••••••• L••	D•••••OR	Na	yes	12/2016	Jan 9, 2017	Aug 1, 2024
C•• C•••••• P••••••• C••••• P••••••• H••••••• I•• L••••••	SOLE SHAREHOLDER	E	yes	11/2018	Mar 30, 2024	Aug 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• C••••• P•••••••• L••	n/a	ASSET_M••••••	$62B	Y	yes	n/a
C•• C•••••• M•••••• S•••	n/a	n/a	n/a	N	yes	n/a
C•• C• I•••• G• L••••••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$2.3B	$4.9B	-52.6%	$6.4B	-28.6%	6	6	0	0

Relationships

Affiliated with (2)

← C•• C••••• P•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•• C••••• P•••••••• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Advises (12)

→ A••••• C•• X•••Private fundSecuritized Asset Fund, IA
Mar 31, 2019 to presentfactForm ADV
→ A••••• C•• X••••

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-2.6B
Occurred
Aug 1, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 1, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 30, 2024
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:daec5a19-f135-c427-ed9e-269ba2160494
First observed: Jan 9, 2017
Last observed: Aug 26, 2026 27 days 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 (20)

← B••••••••• G•••••••• L••OwnerD•••••OR, ownership code NA, individual
Jan 9, 2017 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• I••••••••• M••••••••• L••••••OwnerSOLE MEMBER, ownership code E, foreign entity
Mar 30, 2024 to Aug 1, 2024factForm ADV
← H•• C•••• Y•••••••OwnerD•••••OR, ownership code NA, individual
Mar 29, 2018 to Aug 1, 2024factForm ADV
← H••••••• R•••• Z•••••OwnerGLOBAL CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 1, 2024 to Aug 1, 2024factForm ADV
← R••••• S••••• P••• A•••••OwnerD•••••OR, ownership code NA, individual
Mar 30, 2024 to Aug 1, 2024factForm ADV
← O••••••• K••••• M••••••OwnerD•••••OR, ownership code NA, individual
Mar 30, 2020 to Aug 1, 2024factForm ADV
← Y••••• K••••••• J••• M••••••••OwnerCHAIRMAN, ownership code NA, individual
Mar 31, 2021 to Aug 1, 2024factForm ADV
← M••••••• D••••••• J••••••OwnerD•••••OR, ownership code NA, individual
Mar 30, 2024 to Aug 1, 2024factForm ADV
← C•• C•••••• P••••••• C••••• P••••••• H••••••• I•• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 30, 2024 to Aug 1, 2024factForm ADV
← C•• C•••••• P••••••• C••••• P••••••• H••••••• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 30, 2024 to Aug 1, 2024factForm ADV
← C•• C•••••• P••••••• P••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
May 14, 2024 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• G•••••• P•••••• L••••••OwnerGP AND L•••••• PARTNER; MAJORITY SHAREHOLDER, ownership code E, foreign entity
Mar 30, 2024 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• G••••• C•• M••••••••• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jan 9, 2017 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• G•••• H•••••• F•••••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 30, 2024 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• L•••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 30, 2024 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• U••• C•• H•••••••• L••OwnerMEMBER- SERIES C INTERESTS, ownership code NA, domestic entity
Jan 9, 2017 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• U••• C•• M••••••••• ••••••••• L••••••OwnerMEMBER- SERIES B INTERESTS, ownership code E, foreign entity
Jan 9, 2017 to Aug 1, 2024factForm ADV
← C•• C••••• P••••••• U••• C•• O••••••••• C•••••••••OwnerMEMBER- SERIES A INTERESTS, ownership code NA, domestic entity
Jan 9, 2017 to Aug 1, 2024factForm ADV
← C•• M••••••••• H••••••• I• L••••••OwnerFOUNDER, GUARDIAN & COUNCIL MEMBER, ownership code E, foreign entity
May 14, 2024 to Aug 1, 2024factForm ADV
← C•• N••••••• L••••••OwnerSHAREHOLDER, ownership code C, foreign entity
May 14, 2024 to Aug 1, 2024factForm ADV