DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S•• M••• C•••••• L•••••

CRD 156472

BRIARCLIFF MANOR, NY

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Search this name across graphsid dfx:ria:f7b8ddb6-33a1-4047-c1b9-9a481c85d739

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 5
On other graphs: 3
Observed: Feb 13, 2012 to Mar 26, 2026
17 observations

Across DFX

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

Private Equityidentity

S•• M••• C•••••• L•••••

Private equity manager · cited, shared crd

Independent Sponsorsidentity

S•• M••• C•••••• L•••••

Capital provider to sponsors · cited, shared crd

Allocatorsidentity

S•• M••• C•••••• L•••••

Manager with allocator commitments · cited, 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=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: 25

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• M••• C•••••• P••••••• I• L•	Private Equity Fund	$250M	Mar 25, 2024	27	Mar 29, 2016	reported	021-252388
S•• M••• C•••••• P••••••• I••• L•	Private Equity Fund	$247M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• B••••• M••••	PARTNER, CHIEF FINANCIAL OFFICER	Na	yes	11/2006	Feb 13, 2012	Mar 25, 2024
G•••••••• W••••••• M•••	PARTNER, CHIEF COMPLIANCE OFFICER	Na	yes	01/2011	Feb 13, 2012	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• M••• C•••••• A••••••••• G•• L••	n/a	n/a	n/a	Y	yes	n/a
S•• M••• C•••••• A••••••••• I•• L•	n/a	n/a	n/a	Y	yes	n/a
S•• M••• C•••••• A••••••••• L•	n/a

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	$1.0B	$1.2B	-13.8%	$710M	13.0%	25	27	0	0

Relationships

Advises (19)

→ S•• M••• C•••••• P••••••• I••••Private fundPrivate Equity Fund, IA
Mar 28, 2022 to presentfactForm ADV
→ S•• M••• C•••••• P•••••••• L•Private fundPrivate Equity Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ S•• M••• C•••••• C•••• L•Private fundPrivate Equity Fund, IA
Mar 25, 2024 to presentfactForm ADV
→ S•• M••• C•••••• C••• L•

Dated events

Occurred
Mar 25, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$504M
Occurred
Mar 28, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$300M
Occurred
Apr 23, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$278M
Occurred
Mar 18, 2020
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7b8ddb6-33a1-4047-c1b9-9a481c85d739
First observed: Feb 13, 2012
Last observed: Mar 26, 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.