DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A•••• I••••••••• C••••••• I•••

CRD 106981

NEW YORK, NY

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Search this name across graphsid dfx:ria:0bd75452-08dd-02e5-1310-70e55321f081

Data as of Jan 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 1
Observed: Feb 28, 2012 to Jan 26, 2026
25 observations

Across DFX

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

Private Equityidentity

A•••• I••••••••• C••••••• I•••

Private equity manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $137M••• Locked
Discretionary RAUM: $137M
Private client RAUM: $117Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $27.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• M•••• P•••••	n/a	STAMFORD, CT	23	32	n/a	no
K•••• M•••••• H•••	n/a	NEW YORK, NY	7	21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• A•••• D••••••••• E••••• F•••• L•••••• P•••••••••	Private Equity Fund	$29,755	May 17, 2017	6	Feb 28, 2012	dropped	021-91115

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• D••••• D•	Director	Na	yes	07/1991	Jan 28, 2015	Aug 14, 2024
T•• A•••• R••••••• G••••• I•••	PARENT COMPANY	E	yes	11/1983	Feb 28, 2012	Aug 14, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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

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	$137M	$164M	-16.4%	$128M	2.3%	8	9	0	0

Relationships

Registered with (5)

← T••••• C•••••Advisorregistration: current employment
May 23, 2022 to presentfactForm ADV
← R•••••• A•••••• C••••Advisorregistration: current employment
Aug 27, 2020 to presentfactForm ADV
← J••• M• E•••Advisorregistration: current employment
Jun 6, 2019 to presentfactForm ADV
← K•••• M•••••• H•••

Dated events

Occurred
Jan 25, 2018
Regulatory AUM changed
A•••• I••••••••• C••••••• I••• reported RAUM $209.3M, down 38% from $338.5M (2017-05-30 to 2018-01-25)
Form ADVobserved 7 days ago
$-129M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bd75452-08dd-02e5-1310-70e55321f081
First observed: Feb 28, 2012
Last observed: Jan 26, 2026 7 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.