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D••••••• B••• S••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

D••••••• B••• S••••••••• I•••

CRD 2525

NEW YORK, NY

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Search this name across graphsid dfx:ria:17cb7055-d379-f69c-d43a-674bfde39cd1

Data as of Sep 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 649
Dated events: 40
On other graphs: 3
Observed: Nov 17, 2011 to Sep 10, 2026
238 observations

Across DFX

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

Private Equityidentity

D••••••• B••• S••••••••• I•••

Intermediary · shared crd

Independent Sponsorsidentity

D••••••• B••• S••••••••• I•••

Intermediary · shared crd

Real Estate Fundsidentity

D••••••• B••• S••••••••• I•••

Affiliate · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1195.0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1,743
Advisory employees: 134
Offices: 3Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D• U••• F•••••••• M•••••• H•••••• C•••••••••	Stockholder	E	yes	12/1987	Nov 17, 2011	Dec 23, 2024
D• U•• C•••••••••	Shareholder	E	yes	09/2000	Aug 19, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•• I••••••••• M••••••••• A•••••••• I•••	n/a	Other adviser	$200B	N	yes	n/a
D•• A••••••• L••	n/a	Asset manager	$29B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	5	yes
Jacksonville	FL	United States	5	yes
Boston	Ma	United States	4	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	n/a	$0	n/a	$21.3M	n/a	1,743	1,664	3	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••• P•••••• W•••••• L••	3	Dec 18, 2023	Aug 17, 2026	EAST ROCKAWAY, NY	Team lift out	RIA to RIA	20.0%
C•••••• W••••• P•••••••• L••	2	Sep 18, 2018

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	3	Nov 20, 2018	Aug 6, 2019	NEW YORK, NY	Team lift out	Wirehouse to ibd	0.0%

Relationships

showing 80 of 649

Affiliated with (9)

→ D•• I••••••••• M••••••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ D•• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← RREEF AMERICA L.L.C.Registered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV
← D•• I••••••••• M••••••••• A•••••••• I•••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 19, 2024
Control person left
Charles Erwin Jr Green (Director) no longer on Schedule A of D••••••• B••• S••••••••• I••• (listed 2024-10-02, absent 2024-11-19)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Control person left
James Edward Terris Davies (Chief Executive Officer & President) no longer on Schedule A of D••••••• B••• S••••••••• I••• (listed 2024-03-26, absent 2024-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Control person joined
Christopher Leonard (Chief Executive Officer & President) appeared on Schedule A of D••••••• B••• S••••••••• I•••
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17cb7055-d379-f69c-d43a-674bfde39cd1
First observed: Nov 17, 2011
Last observed: Sep 10, 2026 12 days 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.

Registered with (58)

← JEFFREY B RAITAdvisorregistration: previous registration
Aug 6, 2019 to Dec 21, 2023factForm ADV
← AMISH S JHAVERIAdvisorregistration: previous registration
Oct 19, 2022 to Dec 20, 2023factForm ADV
← Joshua M UnderwoodAdvisorregistration: previous registration
Oct 11, 2022 to Dec 20, 2023factForm ADV
← Shelly S WongAdvisorregistration: previous registration
Feb 3, 2022 to Dec 20, 2023factForm ADV
← ERIK DONOHUEAdvisorregistration: previous registration
Jun 24, 2022 to Dec 20, 2023factForm ADV
← Rahul VarshneyaAdvisorregistration: previous registration
Dec 16, 2021 to Dec 20, 2023factForm ADV
← Lindsay M. McCrackenAdvisorregistration: previous registration
Nov 5, 2021 to Dec 20, 2023factForm ADV
← KEVIN NAGIB CORDOVA CELLERIAdvisorregistration: previous registration
Feb 18, 2022 to Dec 20, 2023factForm ADV
← Daniel Simon Lizaso TrejoAdvisorregistration: previous registration
Jul 26, 2022 to Dec 20, 2023factForm ADV
← Jeffrey John WhalenAdvisorregistration: previous registration
Nov 4, 2020 to Dec 19, 2023factForm ADV
← Mary Holland NaderAdvisorregistration: previous registration
Jun 7, 2023 to Dec 19, 2023factForm ADV
← Lori B JacksonAdvisorregistration: previous registration
May 15, 2019 to Dec 18, 2023factForm ADV
← CARLOS A FERREIRAAdvisorregistration: previous registration
Jan 21, 2020 to Dec 18, 2023factForm ADV
← OLGA PANKRATOVAAdvisorregistration: previous registration
Aug 16, 2018 to Dec 18, 2023factForm ADV
← Santo S VicenzinoAdvisorregistration: previous registration
May 15, 2019 to Dec 18, 2023factForm ADV
← Peter McEvoyAdvisorregistration: previous registration
Aug 22, 2022 to Dec 15, 2023factForm ADV
← BILLY R OBREGONAdvisorregistration: previous registration
Aug 3, 2021 to Dec 15, 2023factForm ADV
← Palvinder MattuAdvisorregistration: previous registration
Oct 28, 2019 to Sep 18, 2023factForm ADV
← Caroline CoenAdvisorregistration: previous registration
May 9, 2022 to Jul 11, 2023factForm ADV
← Zbynek KozelskyAdvisorregistration: previous registration
May 4, 2009 to Jun 8, 2023factForm ADV
← TINA TZU-YI TsaoAdvisorregistration: previous registration
Jun 7, 2022 to Apr 7, 2023factForm ADV
← D•••• AVILA-ANGARITAAdvisorregistration: previous registration
Apr 10, 2019 to Apr 5, 2023factForm ADV
← ANTONIO C. BARBOSAAdvisorregistration: previous registration
Jul 29, 2019 to Mar 22, 2023factForm ADV
← RUI MARIA FORCADAAdvisorregistration: previous registration
Jul 24, 2019 to Mar 15, 2023factForm ADV
← Hagop Harout BalabanianAdvisorregistration: previous registration
Jul 9, 2019 to Dec 21, 2022factForm ADV
← C••••••••• LEE AINSWORTHAdvisorregistration: previous registration
Jun 14, 2019 to Nov 22, 2022factForm ADV
← MAYRA ALEJANDRA ALEJANDRA URIBE-QUICENOAdvisorregistration: previous registration
Nov 4, 2021 to Oct 13, 2022factForm ADV
← RASHEAD ERIC HARPERAdvisorregistration: previous registration
Oct 3, 2019 to Jul 23, 2022factForm ADV
← Enrique TiburcioAdvisorregistration: previous registration
Oct 10, 2017 to Jan 25, 2022factForm ADV
← DOUGLAS WINTHROP ROBERTSONAdvisorregistration: previous registration
Apr 23, 2008 to Dec 22, 2021factForm ADV
and 28 more

2025	Apr 10, 2026	$0	$0	1,743	134	3	n/a	n/a
2024	Feb 27, 2025	$0	$0	1,664	149	3	n/a	n/a
2023	Mar 25, 2024	n/a	n/a	1,664	149	3	n/a	n/a
2022	Mar 30, 2023	$21.3M	$0	1,585	169	1	n/a	n/a
2021	Mar 28, 2022	$71.1M	$0	1,612	149	2	n/a	n/a
2020	Mar 29, 2021	$59.8M	$0	1,996	164	2	n/a	n/a
2019	Mar 27, 2020	$812,521	$0	2,126	205	3	n/a	n/a
2018	Mar 28, 2019	$7.6M	$0	2,600	236	3	n/a	n/a
2017	Mar 29, 2018	$1.5M	$0	2,645	274	3	n/a	n/a
2016	Mar 31, 2017	$201M	$199M	3,003	232	n/a	n/a	n/a
2015	Mar 30, 2016	$5.5B	$3.7B	4,121	509	n/a	n/a	n/a
2014	Mar 31, 2015	$5.7B	$3.8B	4,135	406	n/a	n/a	n/a
2013	Mar 31, 2014	$6.2B	$4.3B	4,115	316	n/a	n/a	n/a
2012	Mar 28, 2013	$5.4B	$4.0B	4,157	238	n/a	n/a	n/a
2011	Mar 30, 2012	$5.9B	$4.6B	n/a	n/a	n/a	n/a	n/a