DFX Intelligence

T••••••••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

T••••••••• C•••••• M••••••••• L••

CRD 132694

NEW YORK, NY

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Search this name across graphsid dfx:ria:19652e60-2400-5d23-0402-3c02733acde1

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 17
On other graphs: 1
Observed: Mar 29, 2012 to Mar 25, 2026
29 observations

Across DFX

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

Independent Sponsorsidentity

T••••••••• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.01 fund_share=0.62 institutional_share=0.37 related_bd=true related_bank=true bd_reps=12.0
Regulatory AUM: $7.9B••• Locked
Discretionary RAUM: $7.9B
Private client RAUM: $44.3Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 41

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••••••• G••••• H••••• C••• F•••• L•	Hedge Fund	$3.6M	Dec 18, 2024	18	Mar 25, 2020	dropped	021-365334
T••••••••• I••••••••• M•••• C•• F•••• L•	Hedge Fund	$2.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• M•••• J••	President	Na	yes	07/2022	Mar 29, 2012	Dec 18, 2024
A••••••••• M••••••• G••••• I•••	Shareholder	E	yes	11/2004	Mar 29, 2012	Dec 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• F•••• L••	n/a	ASSET_M••••••	$18B	N	yes	n/a
A•• D••••••••• I•••	n/a	n/a	n/a	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	$7.9B	$8.2B	-3.9%	$8.8B	-3.6%	41	43	0	0

Relationships

Affiliated with (2)

← A•• F•••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ A•• F•••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (10)

→ T••••••••• F•••• F•••• L•Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ T••••••••• S•••••••• I••••••••• F•••• L•

Dated events

Occurred
Mar 25, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
0 USD_GAV
Occurred
Mar 25, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$3.6M
Occurred
Mar 25, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$355,710
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19652e60-2400-5d23-0402-3c02733acde1
First observed: Mar 29, 2012
Last observed: Mar 25, 2026 6 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 (12)

← B•••••• G••••• R••••••OwnerCHIEF EXECUTIVE OFFICER, PARTNER, ownership code A, individual
Mar 29, 2012 to Dec 18, 2024factForm ADV
← B•••••••• J•••••• A••••OwnerPARTNER, HEAD OF TRADING, ownership code NA, individual
Jan 26, 2023 to Dec 18, 2024factForm ADV
← B••••••• J••••••• D•••••OwnerPARTNER, CLIENT RELATIONS, ownership code NA, individual
Jan 26, 2023 to Dec 18, 2024factForm ADV
← A••••• M•••• J••OwnerPRESIDENT, ownership code NA, individual
Mar 29, 2012 to Dec 18, 2024factForm ADV
← M•••••• J•••••• R•••OwnerPARTNER, CHIEF OPERATING OFFICER, ownership code NA, individual
Sep 29, 2023 to Dec 18, 2024factForm ADV
← K•••••• J••••••••• I••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 18, 2024 to Dec 18, 2024factForm ADV
← K••••• P•••••• ••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 29, 2023 to Dec 18, 2024factForm ADV
← F•••••••• D••••OwnerPARTNER, PORTFOLIO M••••••, ownership code NA, individual
Jan 26, 2023 to Dec 18, 2024factForm ADV
← A••••••••• M••••••• G••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to Dec 18, 2024factForm ADV
← A•• N•••••••• H•••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2012 to Dec 18, 2024factForm ADV
← A•• N•••••••• H•••••••• I••• •••• N•••••OwnerMANAGING M•••••, ownership code E, domestic entity
Mar 29, 2012 to Dec 18, 2024factForm ADV
← A•• N•••••••• I••••••••• C•••• •••• N•••••OwnerM•••••, ownership code D, domestic entity
Mar 29, 2012 to Dec 18, 2024factForm ADV