DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

D•••••• C• L••• • A•••••••••

D•••••• L••• & ASSOCIATES, LLC, CRD 282563

NEW YORK, NY

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Search this name across graphsid dfx:ria:0442dba1-b82c-b40c-f093-de908f874a03

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 8
On other graphs: 0
Observed: Jan 8, 2016 to Mar 30, 2026
32 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $8.4B••• Locked
Discretionary RAUM: $8.4B
Private client RAUM: $7.7Bderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 16
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••••• D•••• D•••••	Chartered Financial Analyst\|Chartered Investment Counselor	NEW YORK, NY	10	20	1	no
S•••• S••••	Chartered Financial Analyst\|Chartered Investment Counselor	NEW YORK, NY	10	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• E•••••• D••••	MANAGING PARTNER	Na	yes	01/2016	Mar 30, 2026	Mar 30, 2026
F•••• O••••••••• L••	Member	E	yes	01/2016	Mar 30, 2026	Mar 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• R••• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BOCA GRANDE	FL	United States	2	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	3	2

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	$8.4B	$8.2B	2.6%	$7.0B	6.2%	37	37	2	2

Relationships

Affiliated with (1)

← S•• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (12)

← S••••• S••••OwnerMANAGING PARTNER, ownership code NA, individual
Mar 30, 2026 to presentfactForm ADV
← F•••• O••••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2026 to presentfactForm ADV
← D•••••• E•••••• D••••OwnerMANAGING PARTNER, ownership code NA, individual

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 30, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 20, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0442dba1-b82c-b40c-f093-de908f874a03
First observed: Jan 8, 2016
Last observed: Mar 30, 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.