DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

I•••••• G••••• A••••••• L••

CRD 288511

STAMFORD, CT

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 11
On other graphs: 3
Observed: May 26, 2017 to Mar 31, 2026
16 observations

Across DFX

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

Venture Capitalidentity

I•••••• G••••• A••••••• L••

Venture manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

I•••••• G••••• A••••••• L••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Equityidentity

I•••••• G••••• A••••••• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.66 fund_share=0.04 institutional_share=0.26 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $684M••• Locked
Discretionary RAUM: $535M
Private client RAUM: $453Mderived••• Locked
Private client share: 66%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $137Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••• A•••••••• F•••••	n/a	Stamford, CT	5	10	n/a	no
M•••••• J••• S••••••	n/a	STAMFORD, CT	1	13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•••••• G••••• A••••••• V• A••••• F••• L• • I••••• I• S•••••	Private Equity Fund	$8.0M	Mar 31, 2026	20	Mar 31, 2023	reported	021-453558
I•••••• G••••• A••••••• V• A••••• F••• L• • U••• I• S•••••	Private Equity Fund	$7.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O•••••• G••• M•••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	01/2017	May 26, 2017	Mar 29, 2024
S•••••••• J•••• A•••••••	HEAD OF BUSINESS DEVELOPMENT	Na	yes	03/2024	Mar 29, 2024	Mar 29, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	6	2

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	$684M	$563M	21.6%	$400M	19.6%	11	12	0	3

Relationships

Advises (4)

→ I•••••• G••••• A••••••• V• A••••• F••• L• • I••••• I• S•••••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ I•••••• G••••• A••••••• V• A••••• F••• L• • L•••• A•••••• I• S•••••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ I•••••• G••••• A••••••• V• A••••• F••• L• • U••• I• S•••••Private fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ I•••••• G••••• A••••••• V• A••••• F••• L• • E••••• 1• S•••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria ownership band change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 26, 2017
Last observed: Mar 31, 2026 5 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.