DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

B••••••••• I••••• A••••••• L•••••

CRD 289550

NEW YORK, NY

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 97
Dated events: 31
On other graphs: 2
Observed: Aug 16, 2017 to Mar 30, 2026
28 observations

Across DFX

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

Private Equityidentity

B••••••••• I••••• A••••••• L•••••

Private equity manager · same CRD, same SEC file number

Independent Sponsorsidentity

B••••••••• I••••• A••••••• L•••••

Capital provider to sponsors · same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderived••• Locked
Regulatory AUM: $8.0B••• Locked
Discretionary RAUM: $8.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 114
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••••••••• I•• I••••••••• P••••••• • A• L•••	Private Equity Fund	$2.5B	Mar 30, 2026	16	Mar 31, 2021	reported	021-384254
B••••••••• H••••••••• P••••••• L•••	Hedge Fund	$1.5B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• G•••• H••••••• L•••	L•••••• PARTNER	E	yes	07/2011	Aug 16, 2017	Oct 23, 2024
B••••••••• H••••••• I• L•••	L•••••• PARTNER	E	yes	06/2007	Aug 16, 2017	Oct 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• I•••• A••••••• L•••••	n/a	Institutional manager	$184B	N	yes	n/a
B••••••••• M••••••••• P••••••• L•••••	n/a	Asset manager	$146B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HONG KONG	n/a	Hong Kong	1	yes
MARUNOUCHI, CHIYODA-KU, TOKYO	n/a	Japan	1	yes

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	$8.0B	$14B	-44.7%	$6.5B	7.0%	114	97	4	2

Relationships

showing 80 of 97

Affiliated with (74)

← B••••••••• R••• E••••• A••••••• E••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
← B••••••••• R••• E••••• A••••••• V• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
← B••••••••• R••• E••••• S•••••• S••••••••• A••••••• L•••••Registered adviserother investment adviser, bank, common control
factForm ADV
← C• I••••••••• M••••••••• C••• L••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
30 Mar 2026
Ria private fund assets change
••• Locked
Form ADV
down $6.4B
Occurred
30 Mar 2026
Private fund gav change
••• Locked
Form ADV
down $7.4B
Occurred
30 Mar 2026
Private fund first reported
••• Locked
Form ADV
$836M
Occurred
30 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
down $6.5B
Occurred
30 Mar 2026
Ria principal change2 events
B••••••••• I••••• A••••••• L•••••: ria principal change, 2 events, on 30 Mar 2026
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 16, 2017
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.

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Y••••• R•••••• F••••••	GENERAL COUNSEL	Na	yes	06/2021	Jun 17, 2021	Oct 23, 2024

All 40 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• R••• E••••• S•••••• S••••••••• A••••••• L•••••	n/a	Other adviser	$70B	N	yes	n/a
B••••••••• P•••••• C••••• S••••••••• L••	n/a	Asset manager	$58B	N	yes	n/a
B••••••••• L••••• C••••• A••••••• I• L••	n/a	Institutional manager	$52B	N	yes	n/a
B••••••••• A••••••••• C••••• A••••••• L•	n/a	Asset manager	$44B	N	yes	n/a
B••••••••• T••••••• O••••••••• A••••••• L•••••	n/a	Asset manager	$40B	N	yes	n/a
B••••••••• C••••• S••••••••• S••••••••• L••	n/a	Institutional manager	$36B	N	yes	n/a
B••••••••• A••••••••• S•••••••• L•••••	n/a	Asset manager	$20B	N	yes	n/a
B••• A••••••• L•••••	n/a	Asset manager	$20B	N	yes	n/a
B••••••••• L••••• C••••• S••••••••• L••	n/a	Other adviser	$19B	N	yes	n/a
B••••••••• P•••••• I••••••••• A••••••• L•••••	n/a	Asset manager	$18B	N	yes	n/a
B••••••••• S•••••••• C•••••• A•••••••• L•••••	n/a	Asset manager	$16B	N	yes	n/a
B••••••••• I•••••• L••••••	n/a	Asset manager	$15B	N	yes	n/a
N••••• P••• G••••• C•••••• •••••	n/a	Asset manager	$15B	N	yes	n/a
B••••••••• L••• S••••••• A••••••• L•••••	n/a	Asset manager	$13B	N	yes	n/a
F•••• E•••• A••••••••• C•••••• L••	n/a	Asset manager	$13B	N	yes	n/a
B••••••••• G••••• A••••••• L•••••	n/a	Asset manager	$10B	N	yes	n/a
B••••••••• M••••••••• A••••••• L•••••	n/a	Asset manager	$8.5B	N	yes	n/a
H•••••• F••• A••••••• L••	n/a	Other adviser	$8.1B	N	yes	n/a
B••••••••• A••••••••• I••••••••• A••••••• L••	n/a	Asset manager	$5.4B	N	yes	n/a
B••••••••• C••• E••••• A••••••• L•••••	n/a	Former SEC adviser	$3.7B	N	yes	n/a
C••••• C••••• M••••••••• L••	n/a	Asset manager	$3.5B	N	yes	n/a
B••••••••• S•••••••• A••••••• A••••••• L•••••	n/a	Asset manager	$3.0B	N	yes	n/a
B••••••••• R••• E••••• A••••••• E••••• L•••	n/a	Asset manager	$2.8B	N	yes	n/a
B••••••••• I•••••• F••• M••••••••• L••••••	n/a	Asset manager	$2.5B	N	yes	n/a
B••••••••• M••••••••• P••••••• I• L•••••	n/a	Former SEC adviser	$2.1B	N	yes	n/a
F•••• E•••• S••••••• A•••••• M••••••••• L••	n/a	Other adviser	$908M	N	yes	n/a
C••••• V•••••••• L••	n/a	Asset manager	$806M	N	yes	n/a
N••• C••••• M••••••••• I•••	n/a	Former SEC adviser	$111M	N	yes	n/a
B••••••••• R••• E••••• A••••••• V• L•••	n/a	Asset manager	$60.2M	N	yes	n/a
B••••••••• C••••••••• A••••••• I• L••	n/a	Former SEC adviser	$45.3M	N	yes	n/a