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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

N••• T••••• C•••••• M••••••••• L••

CRD 130545

NEW YORK, NY

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Search this name across graphsid dfx:ria:f15e788f-5b47-6177-b622-682e59fda00b

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 3
Observed: Apr 3, 2012 to Mar 30, 2026
25 observations

Across DFX

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

Family Officesidentity

N••• T••••• C•••••• M••••••••• L••

Family office · shared crd

Independent Sponsorsidentity

N••• T••••• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

N••• T••••• C•••••• M••••••••• L••

Private equity 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=0.92 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $615MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $615M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%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
9•••••••• L••	Private Equity Fund	$285M	Oct 21, 2024	58	Apr 3, 2012	reported	021-168284
9••••••• 4• L••	Private Equity Fund	$154M

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
N••• T••••• M••••••••• H•••••••• L•• •••••••	MEMBER-MANAGER	E	yes	02/2004	Apr 3, 2012	Oct 21, 2024
R••••• S•••••• J•••	MEMBER-MANAGER	E	yes	02/1998	Apr 3, 2012

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
9••••••• P••••••• 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	$615M	$609M	1.0%	$623M	-0.4%	5	5	0	0

Relationships

Advises (5)

→ 9••••••• 3• L••Private fundPrivate Equity Fund, IA
Mar 31, 2014 to presentfactForm ADV
→ 9•••••••• L••Private fundPrivate Equity Fund, IA
Apr 3, 2012 to presentfactForm ADV
→ 9••••••• 2• L••Private fundPrivate Equity Fund, IA
Apr 3, 2012 to presentfactForm ADV
→ 9••••••• 4• L••Private fund

Dated events

Occurred
Mar 30, 2022
Regulatory AUM changed
N••• T••••• C•••••• M••••••••• L•• reported RAUM $638.3M, up 41% from $451.5M (2021-03-31 to 2022-03-30)
Form ADVobserved 7 days ago
$187M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f15e788f-5b47-6177-b622-682e59fda00b
First observed: Apr 3, 2012
Last observed: Mar 30, 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 30, 2026	$615M	$615M	5	2	0	4	n/a
2024	Mar 27, 2025	$609M	$609M	5	2	0	4	n/a
2023	Mar 28, 2024	$613M	$613M	6	2	0	4	$562M
2022	Mar 31, 2023	$623M	$623M	6	2	0	4	$569M
2021	Mar 30, 2022	$638M	$638M	7	3	0	5	$578M
2020	Mar 31, 2021	$451M	$451M	8	3	0	5	$360M
2019	Mar 30, 2020	$443M	$443M	6	3	0	5	$341M
2018	Mar 30, 2019	$450M	$450M	6	3	1	4	$348M
2017	Mar 29, 2018	$439M	$439M	7	3	1	4	$325M
2016	Mar 31, 2017	$416M	$416M	7	3	n/a	4	$275M
2015	Mar 30, 2016	$416M	$416M	8	3	n/a	4	$267M
2014	Mar 31, 2015	$397M	$397M	8	3	n/a	3	$233M
2013	Mar 31, 2014	$412M	$412M	7	3	n/a	3	$231M
2012	Apr 1, 2013	$296M	$296M	7	1	n/a	2	$103M
2011	Apr 3, 2012	$316M	$316M	n/a	n/a	n/a	2	$99.8M