DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 10b 100b

S••••• P•••• C••••••• L•••

CRD 157738

GREENWICH, CT

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Search this name across graphs

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 80
Dated events: 38
On other graphs: 3
Observed: Feb 14, 2012 to Sep 16, 2026
49 observations

Across DFX

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

Private Equityidentity

S••••• P•••• C••••••• L•••

Private equity manager · key_cik, key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

S••••• P•••• C••••••• L•••

Private credit manager · key_cik, key_crd, key_sfn_adviser, shared_crd

Allocatorsidentity

S••••• P•••• C••••••• L•••

Manager with allocator commitments · key_cik, key_crd, key_sfn_adviser, 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=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $46B••• Locked
Discretionary RAUM: $46B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 357

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• P•••• C•••••• O••••••• M••••• F•••• L•••	Hedge Fund	$12B	Sep 16, 2026	452	Feb 14, 2012	reported	021-45870
S••••• P•••• S•••••••• C••••• I•• M••••• F•••• L•••	Hedge Fund	$5.7B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••• E•••••• A•••••	MANAGING MEMBER	C	yes	03/2002	Feb 14, 2012	Oct 31, 2024
M•••• E•••••• A•••••	C•••• E•••••••• O••••••• P••••••• S••••• P•••• C••••••• L•••	C	yes	12/2001	Feb 14, 2012	Oct 31, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• P•••• C•••••• G•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••• P•••• C•••••• O••••••• G•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••• P•••• D••••••••• O••••••••• O••••••• G•••••• P••••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	7	no
SAN FRANCISCO	CA	United States	3	no
LOS ANGELES	CA	United States	2	no
PALO ALTO	CA	United States	1	no
Dorado	Pr	United States

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	$46B	$37B	24.7%	$22B	27.2%	357	307	9	8

Relationships

Advises (61)

→ S••••• P•••• C•• 1•• L•••Private fundSecuritized Asset Fund, IA
Sep 16, 2026 to presentfactForm ADV
→ S••••• P•••• C•••••• F•••• L•••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ S••••• P•••• T••• M••••• B• I••Private fundHedge Fund, IA
Sep 16, 2026 to presentfactForm ADV
→ S••••• P•••• D••••••••• O••••••••• O••••••• M••••• F•••• L•••

Dated events

Order

Occurred
16 Sep 2026
Ria private fund assets change
••• Locked
Form ADV
$20.7B
Occurred
16 Sep 2026
Private fund gav change4 events
Private fund gav change: 4 on 16 Sep 2026
$841M to $3.5B
- ••• Locked$3.5B
- ••• Locked$1.6B
- ••• Locked$1.0B
Occurred
16 Sep 2026
Private fund first reported27 events
Private fund first reported: 27 on 16 Sep 2026
$2.0M to $599M
- ••• Locked$599M
- ••• Locked$551M
- ••• Locked$549M
Occurred
16 Sep 2026
Ria office opened3 events
S••••• P•••• C••••••• L•••: ria office opened, 3 events, on 16 Sep 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
16 Sep 2026
Ria office closed
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Sep 16, 2026 8 days 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.

All 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• P•••• S•••••••• C••••• F••• I• M••••••••• F••• ••••••••• L•••	Hedge Fund	$941M	Sep 16, 2026	193	Sep 4, 2019	reported	021-348089
S••••• P•••• D••••••••• O••••••••• I••••••••• P•••••••• L•••	Hedge Fund	$936M	Sep 16, 2026	117	Mar 29, 2018	reported	021-305778
S••••• P•••• S•••••••• C••••• F•••• L•••	Hedge Fund	$900M	Feb 25, 2022	76	Jul 20, 2015	dropped	021-243721
S••••• P•••• S•••••••• C••••• F••• I•• L•••	Hedge Fund	$623M	Mar 29, 2020	48	Sep 4, 2019	dropped	021-348089
S••••• P•••• C•• 1•• L•••	Securitized Asset Fund	$599M	Sep 16, 2026	17	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 2• L•••	Securitized Asset Fund	$551M	Sep 16, 2026	17	Feb 28, 2024	reported	n/a
S••••• P•••• C•• 1•• L•••	Securitized Asset Fund	$551M	Sep 16, 2026	22	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 1•• L•••	Securitized Asset Fund	$549M	Sep 16, 2026	20	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 1•• L•••	Securitized Asset Fund	$502M	Sep 16, 2026	21	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 1• L•••	Securitized Asset Fund	$501M	Sep 16, 2026	10	Mar 31, 2023	reported	n/a
S••••• P•••• C•• 1•• L•••	Securitized Asset Fund	$501M	Sep 16, 2026	21	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 7• L•••	Securitized Asset Fund	$501M	Sep 16, 2026	17	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 8• L•••	Securitized Asset Fund	$500M	Sep 16, 2026	19	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 9• L•••	Securitized Asset Fund	$500M	Sep 16, 2026	22	Sep 16, 2026	reported	n/a
S••••• P•••• C•• 5• L•••	Securitized Asset Fund	$451M	Sep 16, 2026	17	Sep 16, 2026	reported	n/a

All 17 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••••• J••••• S•••••	C•••• C••••••••• O••••••• S••••• P•••• C••••••• L•••	Na	no	11/2021	Nov 22, 2021	Oct 31, 2024
R•••••••• D••••• A••••••	P••••••• S••••• P•••• C••••••• L•••	Na	no	03/2019	Mar 29, 2020	Oct 31, 2024
S•••••• A•••••• O•••••	C•••• O•••••••• O••••••• S••••• P•••• C••••••• L•••	Na	no	02/2018	Mar 29, 2018	Oct 31, 2024
S••••• P•••• P•••••• T•••• A•	PARTNER, S••••• P•••• C••••••• L•••; TRUSTEE: S••••• H••••	B	no	01/2012	Feb 14, 2012	Oct 31, 2024
S••••• P•••• P•••••• T•••• B•	PARTNER, S••••• P•••• C••••••• L•••; TRUSTEE: S••••• H••••	B	no	01/2012	Feb 14, 2012	Oct 31, 2024
T••••• E••• R••••	H••• O• I••••••• R•••••••• A•• B••••••• D••••••••• P••••••• S••••• P•••• C••••••• L•••	Na	no	08/2003	Mar 31, 2017	Oct 31, 2024
W•••••• S•••••• E••••••	G•••••• C••••••• S••••• P•••• C••••••• L•••	Na	no	12/2021	Feb 14, 2012	Oct 31, 2024

All 12 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• P•••• S•••••••• C••••• F••• I•• O•••••• G•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••••• P•••• S•••••••• C••••• S••••• S••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$9.6B	$9.6B	137	51	n/a	6	$9.1B
2014	Mar 30, 2015	$10B	$10B	142	44	n/a	6	$9.8B
2013	Mar 31, 2014	$11B	$11B	136	41	n/a	9	$10B
2012	Mar 28, 2013	$11B	$11B	137	41	n/a	9	$11B