DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

A•••• C•••••• P•••••••• I•••

CRD 159529

WILTON, CT

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Search this name across graphsid dfx:ria:fab599d8-b839-7854-de41-b132dd45bab4

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 2
Observed: Feb 14, 2012 to Mar 25, 2026
31 observations

Across DFX

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

Private Equityidentity

A•••• C•••••• P•••••••• I•••

Private equity manager · shared crd

Independent Sponsorsidentity

A•••• C•••••• P•••••••• I•••

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=false related_bank=false bd_reps=0.0
Regulatory AUM: $169M••• Locked
Discretionary RAUM: $169M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••• C•••••• P••••••• I••• L•••	Private Equity Fund	$96.4M	Mar 28, 2024	77	Oct 9, 2018	reported	021-1751268
A•••• C•••••• P••••••• I•• L•••	Private Equity Fund	$68.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• R••••••• J••	President	D	yes	07/2002	Feb 14, 2012	Mar 28, 2024
G••••••••• G••••••• L•••••••	VICE PRESIDENT	C	no	07/2002	Feb 14, 2012	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Lincolnshire	IL	United States	2	no

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	$169M	$179M	-5.2%	$237M	-10.7%	9	9	1	1

Relationships

Advises (14)

→ A•••• C•••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ A••••••••• C••••••••• L••Private fundPrivate Equity Fund, IA
Oct 9, 2018 to presentfactForm ADV
→ A•••• C•••••• P••••••• I••• L•••Private fundPrivate Equity Fund, IA
Oct 9, 2018 to presentfactForm ADV
→ A••••••••• C••••••••• L••

Dated events

Occurred
Mar 28, 2018
Regulatory AUM changed
A•••• C•••••• P•••••••• I••• reported RAUM $152.1M, down 42% from $263.2M (2017-03-27 to 2018-03-28)
Form ADVobserved 7 days ago
$-111M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fab599d8-b839-7854-de41-b132dd45bab4
First observed: Feb 14, 2012
Last observed: Mar 25, 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.