DFX Intelligence

C•••••• 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•••••• M••••••••• L••

CRD 330135

NORWALK, CT

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Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 1
Observed: Mar 27, 2024 to Mar 27, 2026
6 observations

Across DFX

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

Private Equityidentity

C•••••• M••••••••• L••

Private equity manager · key_crd, key_sfn_adviser, 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=false bd_reps=0.0
Regulatory AUM: $202M••• Locked
Discretionary RAUM: $202M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $101Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• J••• P••••••	n/a	NORWALK, CT	2	14	n/a	no
C••• L• W•••	n/a	NORWALK, CT	2	9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U••••• S•••••••• A••••••• •••• Q•••••••• O••••••••• F••• L•	Real Estate Fund	$202M	Mar 27, 2026	4	Mar 27, 2024	reported	021-511351

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• I••••• I•••••••••	Owner	E	yes	04/2019	Mar 27, 2024	Sep 25, 2024
L•••• C••••••• T•••••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	Na	yes	04/2019	Mar 27, 2024	Sep 25, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

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	$202M	$208M	-3.1%	n/a	n/a	24	14	0	0

Relationships

Advises (1)

→ U••••• S•••••••• A••••••• •••• Q•••••••• O••••••••• F••• L•Private fundReal Estate Fund, IA
Mar 27, 2024 to presentfactForm ADV

Registered with (2)

← A••••• J••• P••••••Advisorregistration: current employment
Apr 26, 2024 to presentfactForm ADV
← C••• L• W•••Advisorregistration: current employment
Apr 26, 2024 to presentfactForm ADV

Controls (5)

Dated events

Order

Occurred
27 Mar 2026
Ria principal change
••• Locked
Form ADV
Occurred
27 Mar 2026
Ria indirect owner change
••• Locked
Form ADV
Occurred
27 Mar 2024
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2024
Last observed: Mar 27, 2026 6 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.