DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

O•••••• I••••••••• P•••••••• L••

CRD 160990

NEW YORK, NY

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Search this name across graphsid dfx:ria:e21867c6-136f-aa7c-a1b3-31530b1848e7

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 49
Dated events: 10
On other graphs: 2
Observed: Feb 14, 2012 to May 12, 2026
35 observations

Across DFX

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

Private Equityidentity

O•••••• I••••••••• P•••••••• L••

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

Independent Sponsorsidentity

O•••••• I••••••••• P•••••••• L••

Capital provider to sponsors · key cik, 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: $7.9B••• Locked
Discretionary RAUM: $7.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 45

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•••••• I••••••••• P••••••• F••• V•• L•	Private Equity Fund	$3.6B	May 12, 2026	80	Mar 30, 2021	reported	021-359068
O•••••• I••••••••• P••••••• F••• V•••• L•	Private Equity Fund	$1.9B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• S••••••	Chairman	Na	yes	11/1997	Feb 14, 2012	Apr 15, 2024
H••••••• W••••••• F••••••	VICE CHAIRMAN	Na	yes	11/1997	Feb 14, 2012	Apr 15, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••••• C•••••• P••••••• I•• L••	n/a	n/a	n/a	Y	yes	n/a
O•••••• C•••••• P••••••• V• L••	n/a	n/a	n/a	Y	yes	n/a
O•••••• C•••••• P••••••• V•• L••	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$7.9B	$7.1B	10.5%	$6.5B	6.5%	45	48	1	1

Relationships

Advises (37)

→ I••••••••• P•••• S••••••• I••••••••• L••Private fundPrivate Equity Fund, IA
Mar 28, 2013 to presentfactForm ADV
→ O•••••• I••••••••• P••••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ O•••••• I••••••••• P••••••• F••• V•••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2021 to presentfactForm ADV
→ B•••••• C•••••••• L••

Dated events

Occurred
May 12, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$1.8B
Occurred
May 12, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
May 12, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$1.4B
Occurred
May 12, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e21867c6-136f-aa7c-a1b3-31530b1848e7
First observed: Feb 14, 2012
Last observed: May 12, 2026 4 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.