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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A••••••••• A•••••••• I••

CRD 153731

NEW YORK, NY

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Search this name across graphsid dfx:ria:e9f13c12-7ab2-0ad1-d92b-ac7e225daab8

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 2
Observed: Mar 30, 2012 to Mar 27, 2026
25 observations

Across DFX

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

Private Equityidentity

A••••••••• A•••••••• I••

Private equity manager · shared crd

Independent Sponsorsidentity

A••••••••• A•••••••• I••

Capital provider to sponsors · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.89 fund_share=0.09 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $426MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $68.4M
Private client RAUM: $379MderivedItem 5.D individuals plus high net worth individuals
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B• F•••••• I•••	Hedge Fund	$26.7M	Mar 21, 2024	9	Mar 30, 2012	reported	021-252479
B•• A•••••• F••••• L•••	Hedge Fund	$22.7M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•••• S••••• P••••••••	CEO & CIO	E	yes	09/2005	Mar 30, 2012	Mar 21, 2024
K••••••••• K••••••• M••••	CHIEF COMPLIANCE OFFICER	Na	no	05/2022	Jun 10, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$426M	$411M	3.6%	$1.2B	-30.0%	6	6	0	0

Relationships

Advises (14)

→ A•••••• L•••• C•• F• L•••Private fundPrivate Equity Fund, IA
Mar 30, 2022 to presentfactForm ADV
→ B•• A•••••• F••••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ M••••••••• C•••••• P•••••••• L•• ••••••••• A•••••• M•• • T•••• P•• X•Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ M•• L•••• C•••••• F••• 1•

Dated events

Occurred
Mar 27, 2025
Regulatory AUM changed
A••••••••• A•••••••• I•• reported RAUM $410.8M, down 46% from $753.9M (2024-03-21 to 2025-03-27)
Form ADVobserved 7 days ago
$-343M
Occurred
Mar 21, 2024
Regulatory AUM changed
A••••••••• A•••••••• I•• reported RAUM $753.9M, down 39% from $1.2B (2023-11-03 to 2024-03-21)
Form ADVobserved 7 days ago
$-486M
Occurred
Jun 10, 2022
Control person left
Jeffrey Hiller (Chief Compliance Officer) no longer on Schedule A of A••••••••• A•••••••• I•• (listed 2022-03-30, absent 2022-06-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e9f13c12-7ab2-0ad1-d92b-ac7e225daab8
First observed: Mar 30, 2012
Last observed: Mar 27, 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.

2025	Mar 27, 2026	$426M	$68.4M	6	4	0	7	n/a
2024	Mar 27, 2025	$411M	$90.7M	6	4	0	7	n/a
2023	Mar 21, 2024	$754M	$147M	8	6	0	8	$111M
2022	Mar 30, 2023	$1.2B	$479M	12	9	0	8	$124M
2021	Mar 30, 2022	$1.3B	$504M	14	12	0	10	$116M
2020	Mar 31, 2021	$1.4B	$662M	13	11	0	9	$263M
2019	Mar 31, 2020	$1.4B	$645M	12	9	0	9	$283M
2018	Mar 29, 2019	$1.4B	$501M	13	11	0	7	$223M
2017	Mar 29, 2018	$1.4B	$413M	13	11	0	6	$135M
2016	Mar 31, 2017	$1.2B	$156M	13	11	n/a	8	$140M
2015	Mar 30, 2016	$1.3B	$219M	12	11	n/a	8	$139M
2014	Mar 20, 2015	$1.3B	$122M	9	8	n/a	8	$150M
2013	Mar 31, 2014	$1.1B	$87.4M	8	7	n/a	7	$67.5M
2012	Mar 28, 2013	$882M	$70.6M	9	6	n/a	6	$62.8M
2011	Mar 30, 2012	$794M	$79.2M	n/a	n/a	n/a	6	$76.2M