DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

M••••••••• M••••••••• L••

CRD 288139

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e0e25515-4001-ddc0-b885-5fcf04b6927f

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 9
On other graphs: 1
Observed: Apr 4, 2017 to Mar 27, 2026
18 observations

Across DFX

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

Private Equityidentity

M••••••••• M••••••••• L••

Private equity 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=false related_bank=false bd_reps=0.0
Regulatory AUM: $508M••• Locked
Discretionary RAUM: $508M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• H•••••• L••	Private Equity Fund	$271M	Mar 27, 2026	2	Mar 22, 2018	reported	n/a
P•••••• H•••••• L••	Private Equity Fund	$186M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• A•••••• J•••••	MANAGING MEMBER	D	yes	03/2017	Apr 4, 2017	Mar 12, 2024
K•••••• A•••• C••••••	Member	C	yes	03/2017	Apr 4, 2017	Mar 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• J• D•••••	n/a	n/a	n/a	Y	no	n/a
T••••• M••••••••• L••	n/a	State registered	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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	$508M	$377M	34.7%	$232M	29.9%	1	1	0	1

Relationships

Affiliated with (1)

→ T••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (6)

→ P••••• H•••••• L•Private fundPrivate Equity Fund, IA
Mar 22, 2018 to presentfactForm ADV
→ P•••••• H•••••• L••Private fundPrivate Equity Fund, IA
Mar 22, 2018 to presentfactForm ADV
→ P••••• H•••••• L••

Dated events

Occurred
Mar 27, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$131M
Occurred
Mar 27, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$186M
Occurred
Mar 27, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$9.7M
Occurred
Mar 27, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0e25515-4001-ddc0-b885-5fcf04b6927f
First observed: Apr 4, 2017
Last observed: Mar 27, 2026 6 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.