DFX Intelligence

G•••••••• 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

G•••••••• C•••••• M••••••••• L•

CRD 285081

WESTPORT, CT

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Search this name across graphsid dfx:ria:e4b49a9f-edc4-9045-b8b7-f96644976197

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 26
On other graphs: 2
Observed: Sep 6, 2016 to Mar 31, 2026
22 observations

Across DFX

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

Private Equityidentity

G•••••••• C•••••• M••••••••• L••

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

Independent Sponsorsidentity

G•••••••• 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: $5.1B••• Locked
Discretionary RAUM: $5.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 81

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••••• C•••••• F••• I••• L•	Private Equity Fund	$1.2B	Mar 31, 2026	66	Mar 31, 2023	reported	021-471889
G•••••••• C•••••• F••• I•• L•	Private Equity Fund	$770M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•••••• B•••• D••••	FOUNDER AND CEO	E	yes	10/2015	Sep 6, 2016	Oct 10, 2024
L•••••• A•••••• S•••	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	no	02/2024	Feb 2, 2024	Oct 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••••• C•••••• E•••••••• G• I• L••	n/a	n/a	n/a	N	yes	n/a
G•••••••• C•••••• E•••••••• G• I•• L••	n/a	n/a	n/a	N	yes	n/a
G•••••••• C•••••• E•••••••• G• I••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	6	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	$5.1B	$3.8B	36.8%	$2.1B	35.3%	81	69	1	1

Relationships

Advises (16)

→ G•••••••• G••••• S•••••••• I••• L•Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ G•••••••• C•••••• F••• I• L•Private fundPrivate Equity Fund, IA
Dec 27, 2016 to presentfactForm ADV
→ G•••••••• C•••••• F••• I•••• L•Private fundPrivate Equity Fund, IA
Mar 30, 2020 to presentfactForm ADV
→ G•••••••• G••••• S•••••••• I•• L•

Dated events

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

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$1.4B
Occurred
Mar 31, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$1.1B
Occurred
Mar 31, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4b49a9f-edc4-9045-b8b7-f96644976197
First observed: Sep 6, 2016
Last observed: Mar 31, 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.