DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

O•••••• C•••••• L••

CRD 120188

NEW YORK, NY

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Search this name across graphsid dfx:ria:ea614d30-46c0-4912-624f-8853195e695c

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 1
Observed: Mar 7, 2012 to Mar 29, 2016
12 observations

Across DFX

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

Venture Capitalidentity

O•••••• C•••••• L••

Venture manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $8.0B••• Locked
Discretionary RAUM: $8.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 91
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•••••• A••••••••• L••	Other Private Fund	$109,000	Jul 11, 2014	35	Mar 7, 2012	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• S•••• H••••	Member	B	yes	10/1998	Mar 7, 2012	Mar 29, 2016
C•••• D••••••• W•	CHIEF COMPLIANCE OFFICER	Na	yes	02/2016	Feb 23, 2016	Mar 29, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•••••• A••••••• L••	n/a	Asset manager	$21B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$8.0B	$7.9B	1.3%	$3.0B	38.7%	91	78	n/a	n/a

Relationships

Affiliated with (2)

← O•••••• A••••••• L••Registered adviserbank, pooled vehicle sponsor, common control
factForm ADV
→ O•••••• A••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (9)

← G•••••• C•••• L••OwnerMEMBER, ownership code B, individual
Mar 7, 2012 to presentfactForm ADV
← N••••• W••••••• C•••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ea614d30-46c0-4912-624f-8853195e695c
First observed: Mar 7, 2012
Last observed: Mar 29, 2016 127 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.