DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

C•••••• R••••••• A•• M••••••••• C••••••

CRD 110885

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:0d9bffb4-d0b5-f275-4c51-2e1b2971b348

Data as of Jul 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 71
Dated events: 40
On other graphs: 1
Observed: Dec 20, 2011 to Jul 6, 2026
63 observations

Across DFX

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

Private Creditidentity

C•••••• R••••••• A•• M••••••••• C••••••

Private credit manager · key crd, shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $3754B••• Locked
Discretionary RAUM: $3754B
Private client RAUM: $24Bderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1,417

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• G•••• N•• P••••••••• F••• ••••	Other Private Fund	$13B	Feb 21, 2023	839	Sep 28, 2016	dropped	n/a
C•••••• G•••• G••••• A••••••••• F••• ••••	Other Private Fund	$1.5B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• M••••••• T•••••	Director	Na	yes	12/2024	Dec 10, 2024	Dec 10, 2024
A••••••••• C•••••• M••••	DIRECTOR, SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER	Na	yes	11/2019	Oct 6, 2015	Dec 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• B••• A•• T•••• C••••••	n/a	Asset manager	$139B	N	yes	n/a
C•••••• I••••••••• I•••	n/a	Other adviser	$52B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	96	no
NEW YORK	NY	United States	76	no
SAN FRANCISCO	CA	United States	74	no
Washington	Dc	United States	2	no
Irvine	CA	United States

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	$3754B	$3315B	13.2%	$2750B	10.9%	1,417	1,384	4	5

Relationships

Affiliated with (14)

← C•••••• C••••• G••••• I•••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ C•••••• G••••••• •••••••• I•••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•••••• I••••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ C•••••• R••••••• C••••••Registered adviser

Dated events

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

Occurred
Jul 6, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Jul 6, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jul 6, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0d9bffb4-d0b5-f275-4c51-2e1b2971b348
First observed: Dec 20, 2011
Last observed: Jul 6, 2026 2 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.

Controls (22)

← J••••••• J•••••• F•••••OwnerDIRECTOR, VICE CHAIR & PRESIDENT, ownership code NA, individual
Jan 9, 2013 to Dec 10, 2024factForm ADV
← W••••••• W••••••• H•••••OwnerDIRECTOR, SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER - INVESTMENT GROUP, ownership code NA, individual
Dec 15, 2020 to Dec 10, 2024factForm ADV
← O•••••••• M••••••• P•••••OwnerDIRECTOR, ownership code NA, individual
Sep 28, 2015 to Dec 10, 2024factForm ADV
← P••••• K••••• A•••OwnerDIRECTOR, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← F••••• C•••••• E••••••••OwnerDIRECTOR, ownership code NA, individual
Oct 12, 2016 to Dec 10, 2024factForm ADV
← T••••••• M••••••• J••••OwnerDIRECTOR, ownership code NA, individual
Mar 8, 2019 to Dec 10, 2024factForm ADV
← R••• R•••• R••••••OwnerDIRECTOR, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← G•••••• M••••••• C••••OwnerDIRECTOR AND VICE CHAIRMAN, ownership code NA, individual
Sep 28, 2015 to Dec 10, 2024factForm ADV
← B••••••• W•••••• R•••••OwnerDIRECTOR, ownership code NA, individual
Dec 20, 2019 to Dec 10, 2024factForm ADV
← S•••••• A•••••• B••••••OwnerDIRECTOR AND CHAIR, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← K•••••• C•••• M••••••OwnerDIRECTOR AND VICE CHAIR, ownership code NA, individual
Sep 29, 2014 to Dec 10, 2024factForm ADV
← P••••••••• R•••••• K••••OwnerDIRECTOR, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← F•••••••• H••••• C••••••••OwnerDIRECTOR, ownership code NA, individual
Dec 12, 2023 to Dec 10, 2024factForm ADV
← A••••••••• C•••••• M••••OwnerDIRECTOR, SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 6, 2015 to Dec 10, 2024factForm ADV
← W••••• R••••••• L••••OwnerDIRECTOR, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← B•••••••• J•••••••• M•••••••OwnerDIRECTOR, TREASURER, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← A••••• M••••••• T•••••OwnerDIRECTOR, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← N••••• N•••••• Z•••••• S••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 7, 2024 to Dec 10, 2024factForm ADV
← Z••••••••• M••••OwnerDIRECTOR, ownership code NA, individual
Dec 1, 2021 to Dec 10, 2024factForm ADV
← L•••••• S•••••• D••••OwnerDIRECTOR, ownership code NA, individual
Nov 29, 2022 to Dec 10, 2024factForm ADV
← H••••••• M••••••• T•••••OwnerDIRECTOR, ownership code NA, individual
Dec 10, 2024 to Dec 10, 2024factForm ADV
← T•• C•••••• G•••• C••••••••• I•••OwnerSTOCKHOLDER, ownership code E, domestic entity
Dec 20, 2011 to Dec 10, 2024factForm ADV