DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

R•••••• C••••••• L••

CRD 298178

NEW YORK, NY

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Search this name across graphsid dfx:ria:e85dc959-ba7e-3bdb-67cd-96cb53588c7c

Data as of Jul 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 8
On other graphs: 1
Observed: Jun 28, 2019 to Jul 31, 2026
12 observations

Across DFX

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

Venture Capitalidentity

R•••••• C••••••• L••

Venture 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=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••••• C••••••• L•••	Other Private Fund	$143M	Mar 18, 2019	4	Jul 18, 2018	dropped	n/a
R•••••• P••• C•••••• L•••	Other Private Fund	$32.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••• M•••••• A•••••	DIRECTOR OF FINANCE & CHIEF COMPLIANCE OFFICER	Na	yes	04/2022	May 19, 2022	Mar 28, 2024
R•• M••••••• P••••••• G•••• L••••••	Owner	D	yes	11/2017	Jun 28, 2019	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• C•••••• G•• L•••	n/a	n/a	n/a	N	yes	n/a
R•••••• C•••••• V•••••• F••• G•• L•••	n/a	n/a	n/a	N	yes	n/a
R•••••• P••• C•••••• G•• L•••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 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	$1.0B	$760M	34.5%	$689M	14.0%	5	4	0	0

Relationships

Controls (4)

← T••• L•• N••OwnerDIRECTOR, ownership code D, individual
Jun 28, 2019 to Mar 28, 2024factForm ADV
← S•• D••••• T•••• S•••OwnerOWNER, ownership code E, individual
Jun 28, 2019 to Mar 28, 2024factForm ADV
← P••••••• M•••••• A•••••OwnerDIRECTOR OF FINANCE & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 19, 2022 to Mar 28, 2024factForm ADV
← R•• M••••••• P••••••• G•••• L••••••OwnerOWNER, ownership code D, foreign entity
Jun 28, 2019 to Mar 28, 2024fact

Dated events

Occurred
Mar 26, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$194M
Occurred
Mar 28, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
May 19, 2022
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 29, 2022
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e85dc959-ba7e-3bdb-67cd-96cb53588c7c
First observed: Jun 28, 2019
Last observed: Jul 31, 2026 53 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.