DFX Intelligence

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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

S•••••• C•••••• A••••••• L••

CRD 157299

NEW YORK, NY

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Search this name across graphsid dfx:ria:0d1cc292-15f5-3a3b-251b-06285a221b85

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 197
Dated events: 27
On other graphs: 1
Observed: Mar 30, 2012 to Aug 18, 2026
50 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

S•••••• C•••••• A••••••• L••

Intermediary · shared crd

Private Equityowner

E••••••• C•••••• P•••••••• L•

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

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

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=136.0
Regulatory AUM: $8.9B••• Locked
Discretionary RAUM: $7.4B
Private client RAUM: $8.6Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 121
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••••• I• P••••••	n/a	NEW YORK, NY	11	19	3	yes
J•••• B•••• C••••••	Certified Financial Planner	NEW YORK, NY	11	23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• G••••••• C•••••	President	Na	yes	07/2012	Aug 18, 2026	Aug 18, 2026
M•••••• R•••••• J••••	CHIEF EXECUTIVE OFFICER	Na	yes	04/2011	Aug 18, 2026	Aug 18, 2026

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN A••••IO	TX	United States	9	yes
Pasadena	CA	United States	7	yes
NEW HAVEN	Ct	United States	7	yes
Baltimore	Md	United States	6	yes
SAN DIEGO	CA	United States

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
8	0	8	0.0%	4	0	0	30	9

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	$8.9B	$7.6B	17.4%	$4.7B	23.2%	154	145	14	14

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••••• A•••••••• L••	3	Oct 10, 2024	Sep 13, 2024	NEW YORK, NY	Team lift out	Ibd to ibd	2.8%
C•••• R••• A••••••• L••	2	Mar 14, 2024	Apr 4, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• S••••••	2	Jul 23, 2024	Jun 24, 2024	MIAMI, FL	Team lift out	Wirehouse to ibd	0.0%
L•••••• W••••• M••••••••• L••	2	Dec 26, 2023	Dec 14, 2023

Relationships

showing 80 of 197

Registered with (72)

← J•••• w• B••••••Advisorregistration: current employment
Sep 17, 2026 to presentfactForm ADV
← G••••• L•••••• L••••Advisorregistration: current employment
Aug 20, 2026 to presentfactForm ADV
← M•••••• R••• N••••Advisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← J•••• E• C•••••

Dated events

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

Occurred
Apr 16, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$1.6B
Occurred
Dec 12, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 10, 2024
Team lift-out
••• Locked
Form ADVobserved 7 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0d1cc292-15f5-3a3b-251b-06285a221b85
First observed: Mar 30, 2012
Last observed: Aug 18, 2026 36 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.