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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

D••••••• D•• A•••••• L••

CRD 335395

NEW YORK, NY

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Search this name across graphsid dfx:ria:14bb6db8-039a-d24c-d5e0-f5fae1713a8d

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 25, 2025 to Apr 29, 2026
4 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

D••••••• C•••••• P••••••• L•

owned by this firm per Schedule A (the owner's CRD) · confidence 90% · family precision 100%

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=true bd_reps=0.0
Regulatory AUM: $343M••• Locked
Discretionary RAUM: $343M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 119

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• M••••••• J•••••	GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER FINANCIAL OFFICER AND HEAD OF OPERATIONS	Na	yes	04/2025	Apr 29, 2026	Apr 29, 2026
D••••••• C•••••• P••••••• L•	MANAGING MEMBER	E	yes	04/2025	Apr 29, 2026	Apr 29, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 29, 2026	$343M	$343M	119	62	2	n/a	n/a

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	$343M	n/a	n/a	n/a	n/a	119	n/a	2	n/a

Relationships

Controls (4)

← C•••• M••••••• J•••••OwnerGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER FINANCIAL OFFICER AND HEAD OF OPERATIONS, ownership code NA, individual
Apr 29, 2026 to presentfactForm ADV
← D••••••• C•••••• P••••••• L•OwnerMANAGING MEMBER, ownership code E, domestic entity
Apr 29, 2026 to presentfactForm ADV
← L••••••••• J•••••••• N••OwnerCO-CHIEF EXECUTIVE OFFICER & CO- PRESIDENT, ownership code NA, individual
Apr 29, 2026 to presentfactForm ADV
← G••••••• S••••• K•••••••OwnerCO-CHIEF EXECUTIVE OFFICER & CO- PRESIDENT, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14bb6db8-039a-d24c-d5e0-f5fae1713a8d
First observed: Jul 25, 2025
Last observed: Apr 29, 2026 4 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.