DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

G••••••• I••••••••• L••

CRD 146382

JERSEY CITY, NJ

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Search this name across graphsid dfx:ria:11b3cc22-9ab6-2755-e9ad-391ea7032a1a

Data as of Mar 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 5
On other graphs: 0
Observed: Nov 8, 2011 to Mar 29, 2024
36 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $329M••• Locked
Discretionary RAUM: $287M
Private client RAUM: $25.3Mderived••• Locked
Private client share: 8%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G••••••• M••••• F••• L•	Hedge Fund	$24.3M	Dec 4, 2020	2	Mar 29, 2018	dropped	021-290271
G••••••• E••••••• M•••••• E••••••• F•••	Other Private Fund	$7.9M	Jan 10, 2018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• C•••••• M•••••	Owner	D	yes	03/2017	Nov 8, 2011	Mar 29, 2024
A•••••• C•••••• M•••••	Owner	D	yes	03/2017	Nov 8, 2011	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• R••• A•••• M••••••••• L••	n/a	Former SEC adviser	$455M	Y	yes	n/a
G••••••• I••••••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$151M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CORAL GABLES	FL	United States	1	no

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
2023	$329M	$321M	2.3%	$444M	-9.5%	4	5	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
V•••••• W••••• P•••••••• L••	2	Dec 31, 2017	Apr 16, 2022	ANAHEIM, CA	Team lift out	Other	66.7%

Relationships

Affiliated with (5)

← G••••••• I••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, control
factForm ADV
→ S••••••• R••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ G••••••• I••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← S••••••• R••• A•••• M••••••••• L••Registered adviser

Dated events

Occurred
Jun 7, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-159M
Occurred
Aug 17, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11b3cc22-9ab6-2755-e9ad-391ea7032a1a
First observed: Nov 8, 2011
Last observed: Mar 29, 2024 30 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.