DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A••••• I•••••••• L••

CRD 107436

NEW YORK, NY

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Search this name across graphsid dfx:ria:e1280729-4000-3579-0cb8-0ea86cdd9798

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 2
Observed: Mar 22, 2012 to Mar 15, 2024
18 observations

Across DFX

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

Private Equityidentity

A••••• I•••••••• L••

Private equity manager · shared crd

Private Creditidentity

A••••• I•••••••• L••

Private credit manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.5B••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• M•••••••• F••• I•• L•••	Private Equity Fund	$1.5M	Mar 25, 2019	12	Mar 15, 2013	dropped	n/a
A••••• M•••••••• F•••• L•••	Private Equity Fund	$1.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• M•••	MANAGING MEMBER	D	yes	08/1996	Mar 22, 2012	Mar 15, 2024
G•••••••• C•••••• A••••••	EXECUTIVE OFFICER	Na	yes	05/2022	Jul 1, 2022	Mar 15, 2024

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
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.5B	$1.3B	16.6%	$766M	24.0%	7	7	1	1

Relationships

Controls (5)

← T••••••• A••••••• G••••••••OwnerMANAGING MEMBER, ownership code D, individual
Mar 22, 2012 to presentfactForm ADV
← L••••••• V••••••••• P••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 11, 2021 to presentfactForm ADV
← A•••••• M•••OwnerMANAGING MEMBER, ownership code D, individual
Mar 22, 2012 to presentfactForm ADV
← G•••••••• C•••••• A••••••OwnerEXECUTIVE OFFICER, ownership code NA, individual
Jul 1, 2022 to presentfact

Dated events

Occurred
Feb 23, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$260M
Occurred
Jul 1, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 23, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$226M
Occurred
Mar 11, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1280729-4000-3579-0cb8-0ea86cdd9798
First observed: Mar 22, 2012
Last observed: Mar 15, 2024 30 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.