DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

R•• C•••••• P•••••••• L••

CRD 160913

NEW YORK, NY

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Search this name across graphsid dfx:ria:f5b650a4-7622-b851-7f43-1f8a39186940

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 3
On other graphs: 2
Observed: Feb 14, 2012 to Mar 24, 2026
27 observations

Across DFX

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

Private Equityidentity

R••••• P••••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

R•• C•••••• 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=true related_bank=true bd_reps=0.0
Regulatory AUM: $234M••• Locked
Discretionary RAUM: $234M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R••••• P••••••• T••••••••• F•••• L•	Private Equity Fund	$210M	Jun 20, 2024	21	Feb 14, 2012	reported	021-167654
R••••• P••••••• I••• L•	Private Equity Fund	$90.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• K••••••• J••••	Partner	F	yes	10/2009	Feb 14, 2012	Jun 20, 2024
B••••• K••••••• J••••	VOTING INTEREST HOLDER	F	yes	10/2009	Feb 14, 2012	Jun 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• G••• A••••••• L••	n/a	Asset manager	$18B	N	yes	n/a
R••• C••••••• L••	n/a	n/a	n/a	N	yes	n/a
R••••• P••••••• C•••••• I• E• L••

Regulatory AUM by fiscal year

••• Locked

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

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	$234M	$327M	-28.5%	$399M	-16.3%	6	5	0	0

Relationships

Affiliated with (2)

← S•••••• G••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•••••• G••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (6)

→ R••••• P••••••• I••• L•Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ R••••• P••••••• I•• L•

Dated events

Occurred
Mar 30, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-422M
Occurred
Dec 7, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 23, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$283M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5b650a4-7622-b851-7f43-1f8a39186940
First observed: Feb 14, 2012
Last observed: Mar 24, 2026 6 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.