DFX Intelligence

P•••••••• 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

P•••••••• C•••••• M••••••••• L•

CRD 333644

NEW YORK, NY

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Search this name across graphsid dfx:ria:df8197b5-2bbe-f376-789a-138c628a6be6

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 7
On other graphs: 2
Observed: Oct 21, 2024 to Jul 9, 2026
6 observations

Across DFX

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

Private Equityidentity

P•••••••• C•••••• M••••••••• L•

Private equity manager · key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

P•••••••• C•••••• M••••••••• L•

Capital provider to sponsors · key crd, key sfn adviser, 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: $1.6B••• Locked
Discretionary RAUM: $1.6B
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
P•••••••• C•••••• F••• I• L•	Private Equity Fund	$216M	Jul 9, 2026	52	Jul 9, 2026	reported	021-532044
P•••••••• W•••••••• F••• I• L•	Private Equity Fund	$37.1M	Jul 9, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• A•••••• H••••••• ••••• L•	L•••••• PARTNER	E	yes	08/2017	Oct 21, 2024	Nov 18, 2024
A•• I•••••••• H••••••• L•	L•••••• PARTNER	E	yes	08/2017	Oct 21, 2024	Nov 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• Q• A••••••• L••	n/a	Asset manager	$15B	N	yes	n/a
A•• I•••••••• S•• L•	n/a	Asset manager	$3.5B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 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	$1.6B	$511M	210.2%	n/a	n/a	6	3	0	0

Relationships

Affiliated with (2)

→ A•• Q• A••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ A•• E••••••••• P••••••• M••••••••• L•Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (3)

→ P•••••••• C•••••• F••• I• L•Private fundPrivate Equity Fund, IA
Jul 9, 2026 to presentfactForm ADV
→

Dated events

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

Occurred
Jul 9, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jul 9, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$37.1M
Occurred
Jul 9, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$25.6M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df8197b5-2bbe-f376-789a-138c628a6be6
First observed: Oct 21, 2024
Last observed: Jul 9, 2026 2 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.