DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

1• E••• P••••••• L••

CRD 322360

NEW YORK, NY

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Search this name across graphsid dfx:ria:e7ef8ab5-a611-fbbc-f9c6-4e429bcc3b51

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 2
Observed: Feb 28, 2025 to Aug 18, 2026
5 observations

Across DFX

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

Private Equityidentity

1• E••• P••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

1• E••• P••••••• L••

Capital provider to sponsors · 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: $603M••• Locked
Discretionary RAUM: $112M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• I•••• A• S••••• O• T• H••••••• I• L••	Other Private Fund	$48.2M	Mar 28, 2024	118	Mar 28, 2024	reported	021-500011
S••••• 6• A• S••••• O• T• H••••••• I• L••	Other Private Fund	$14.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• I•••• N••	CHIEF EXECUTIVE OFFICER	Na	yes	03/2025	Aug 18, 2026	Aug 18, 2026
K••••• S•••••• N•••	CHIEF INVESTMENT OFFICER	Na	yes	12/2021	Aug 18, 2026	Aug 18, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 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	$603M	$253M	137.8%	n/a	n/a	21	25	0	0

Relationships

Controls (5)

← P•••••• T••••••••• I•••OwnerPARENT COMPANY, ownership code E, domestic entity
Aug 18, 2026 to presentfactForm ADV
← L••••••• M••••••• J•••••OwnerFOUNDER, ownership code NA, individual
Aug 18, 2026 to presentfactForm ADV
← K••••• S•••••• N•••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Aug 18, 2026 to presentfactForm ADV
← S•••••••• A•••••• M••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 18, 2026 to presentfact

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$237M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e7ef8ab5-a611-fbbc-f9c6-4e429bcc3b51
First observed: Feb 28, 2025
Last observed: Aug 18, 2026 35 days 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.