DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C••••••••• P••••••• I••••••••• M••••••••• L•

CRD 285361

NEW YORK, NY

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Search this name across graphsid dfx:ria:fc449b1e-db04-f833-211c-fb5c0ca74da6

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 14
On other graphs: 2
Observed: Jan 28, 2020 to Mar 31, 2026
10 observations

Across DFX

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

Private Equityidentity

C••••••••• P••••••• I••••••••• M••••••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

C••••••••• P••••••• I••••••••• M••••••••• 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=false related_bank=true bd_reps=0.0
Regulatory AUM: $428M••• Locked
Discretionary RAUM: $428M
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
C••••••••• G••••• O••••••••• F••• L•	Hedge Fund	$152M	Mar 29, 2024	17	Mar 31, 2023	reported	021-477074
C••••••••• E••••••• M•••••• M••••• F•••• L•	Hedge Fund	$57.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• G•• L•••	GENERAL PARTNER	Na	yes	07/2016	Jan 28, 2020	Mar 29, 2024
G••• H••• N••	LIMITED PARTNER	Na	yes	07/2016	Jan 28, 2020	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$428M	$327M	31.2%	$157M	39.8%	6	8	1	1

Relationships

Advises (7)

→ N•• H••• • C••••••••• G••••• O••••••••• H••••••• I•• L••Private fundPrivate Equity Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ N•• H••• • C••••••••• G••••• O••••••••• H•••••••• L••Private fundPrivate Equity Fund, IA
Jun 22, 2017 to presentfactForm ADV
→ C••••••••• G••••• O••••••••• F••• L•Private fundHedge Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ C••••••••• E••••••• M•••••• M••••• F•••• L•

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$102M
Occurred
Mar 30, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$120M
Occurred
Mar 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2024
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc449b1e-db04-f833-211c-fb5c0ca74da6
First observed: Jan 28, 2020
Last observed: Mar 31, 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.