DFX Intelligence

S••• 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

S••• C•• M••••••••• L••

CRD 285354

PARK RIDGE, NJ

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Data as of Apr 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 5
On other graphs: 1
Observed: Oct 17, 2016 to Apr 28, 2026
16 observations

Across DFX

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

Private Creditidentity

S••• C•• M••••••••• L••

Private credit manager · Key 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=true related_bank=true bd_reps=0.0
Regulatory AUM: $336M••• Locked
Discretionary RAUM: $336M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••••• V••• C•• 2••••• L•••	Securitized Asset Fund	$334M	Apr 28, 2026	1	Mar 30, 2017	reported	n/a
M••••••• V••• C•• 2••••• L•••	Securitized Asset Fund	$1.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• M••••••• A••••	EVP, CHIEF FINANCIAL OFFICER	Na	yes	06/2017	Jun 29, 2017	Mar 27, 2024
A••••••• G•••••• R•••••	CHIEF EXECUTIVE OFFICER	Na	yes	06/2017	Jun 29, 2017	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••••• I••••••••• A•••••••• I•••	n/a	Asset manager	$52B	N	yes	n/a
K•••• A••••••• R•••••• I••••••••• M••••••••• L••	n/a	Mixed wealth	$39B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$336M	$406M	-17.4%	$827M	-26.0%	12	12	0	0

Relationships

Affiliated with (33)

← V••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← V••••• C•••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← V••••• A••••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← W••••••••• C•••••• P•••••••• L••Registered adviser

Dated events

Order

Occurred
28 Apr 2026
Ria private fund assets change
••• Locked
Form ADV
$-369M
Occurred
28 Apr 2026
Private fund gav change
••• Locked
Form ADV
$-293M
Occurred
28 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
$-298M
Occurred
29 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
$510M
Occurred
17 Oct 2016
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 17, 2016
Last observed: Apr 28, 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.

All 19 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••••• F••• A•••••••• L••	n/a	Other adviser	$1.5B	N	yes	n/a
V••••• E•• A••••••• L••	n/a	Other adviser	$1.4B	N	yes	n/a
V••••• A••••••••• I••••••••• A•••••••• I•••	n/a	Asset manager	$1.1B	N	yes	n/a
W••••••••• C•••••• P•••••••• L••	n/a	Asset manager	$34.2M	Y	no	n/a
S••• C•• M••••••••• G• L••	n/a	n/a	n/a	Y	yes	n/a
V••••• G••••• P••••••• P••• L•••	n/a	n/a	n/a	N	yes	n/a
V••••• I••••••••• F••• M••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
V••••• I••••••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
V• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a