DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

N••••• C•••••••• R••••••• A•• A•••• M••••••••• I••

CRD 110411

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1666c064-4036-96ae-d6f0-6cb83b461c3e

Data as of Jun 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 22
On other graphs: 0
Observed: Mar 30, 2012 to Jun 24, 2026
50 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: other adviserderivedprivate_client_share=0.0 fund_share=0.33 institutional_share=0.67 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $38B••• Locked
Discretionary RAUM: $37B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 50

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••• P••• H••• Y•••• O••••••••• M••••• F••• L•••	Hedge Fund	$96.2M	Apr 18, 2017	11	Mar 30, 2012	dropped	021-55599
B•••••• P••• H••• Y•••• O••••••••• S•••••••• F•••• L•••	Hedge Fund	$1.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• S•••••• N•••••••	BOARD OF DIRECTOR	Na	yes	10/2022	Oct 26, 2022	Oct 8, 2024
C••••• A••• Y•	MANAGING DIRECTOR AND PORTFOLIO MANAGER	Na	yes	05/2019	Mar 30, 2012	Oct 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••• A•••• M••••••••• C••• L•••	n/a	Asset manager	$602B	N	yes	n/a
N••••• A•••• M••••••••• U••• L••••••	n/a	Former SEC adviser	$32B	N	yes	n/a

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	$38B	$38B	-0.4%	$33B	4.0%	50	46	0	0

Relationships

Affiliated with (16)

← N••••• S••••••••• I••••••••• I•••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← N••••• A•••• M••••••••• C••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
← N••••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N••••• A•••• M••••••••• U••••• I•••Registered adviser

Dated events

Occurred
Oct 8, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 5, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 5, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 16, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1666c064-4036-96ae-d6f0-6cb83b461c3e
First observed: Mar 30, 2012
Last observed: Jun 24, 2026 3 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 (13)

← D••••••• N•••• A••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to Oct 8, 2024factForm ADV
← C••••• D••••• O•••OwnerPRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR, BOARD OF DIRECTOR, ownership code NA, individual
Mar 30, 2012 to Oct 8, 2024factForm ADV
← A••••••• S•••••• N•••••••OwnerBOARD OF DIRECTOR, ownership code NA, individual
Oct 26, 2022 to Oct 8, 2024factForm ADV
← K•••••• S••••••• S••••••OwnerMANAGING DIRECTOR AND PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to Oct 8, 2024factForm ADV
← s•••••••• m•••• v•••••OwnerMANAGING DIRECTOR, PORTFOLIO MANAGER, ownership code NA, individual
Jun 16, 2023 to Oct 8, 2024factForm ADV
← C••••••• E•••••• J••••OwnerTREASURER, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 5, 2024 to Oct 8, 2024factForm ADV
← C••••• A••• Y•OwnerMANAGING DIRECTOR AND PORTFOLIO MANAGER, ownership code NA, individual
Mar 30, 2012 to Oct 8, 2024factForm ADV
← H••••••••• M••••••• J•••OwnerHEAD OF LEGAL, ownership code NA, individual
Jun 24, 2022 to Oct 8, 2024factForm ADV
← S••••• R•••••• N••OwnerBOARD OF DIRECTOR, ownership code NA, individual
Apr 5, 2024 to Oct 8, 2024factForm ADV
← N•••••• Y•••••OwnerBOARD OF DIRECTOR, ownership code NA, individual
Apr 12, 2019 to Oct 8, 2024factForm ADV
← S••••••• E•••••OwnerMANAGING DIRECTOR - HEAD OF RISK, ownership code NA, individual
Jun 25, 2021 to Oct 8, 2024factForm ADV
← N••••• H•••••• A••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to Oct 8, 2024factForm ADV
← N••••• H•••••••• I•••OwnerINDIRECT OWNER, ownership code E, foreign entity
Mar 30, 2012 to Oct 8, 2024factForm ADV