DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C••••••• S••••••••• I• L••

CRD 168018

NEW YORK, NY

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Search this name across graphsid dfx:ria:1c9663e1-b0a1-3b98-90a3-a5e9a201845b

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 10
On other graphs: 0
Observed: Jun 7, 2013 to Mar 31, 2021
12 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 723
Advisory employees: 227
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-78207
CRD: 168018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A••••••••• K••••••••	S••••• MANAGING DIRECTOR OF SGI FRONTIER CAPITAL PTE LTD.	Na	yes	10/2018	Mar 30, 2020	Mar 31, 2021
B•••••••• A••••••••• D••••	S••••• MANAGING DIRECTOR, GENERAL COUNSEL	Na	yes	01/2018	Mar 30, 2020	Mar 31, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••• C•••••• M••••••••• L•••	n/a	ASSET_M••••••	$92B	Y	yes	n/a
2•• C••••• F•••••• C•••• A• M••••••• L••	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
2020	Mar 31, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	n/a	n/a	n/a	n/a	n/a	723	760	0	0

Relationships

Affiliated with (1)

→ C••••••• C•••••• M••••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (25)

← F•••••••• S••••••• A•••••OwnerSOLE SHAREHOLDER, DIRECTOR AND PRESIDENT, ownership code E, individual
Jun 7, 2013 to presentfactForm ADV
← R••••••• W••••••• L••OwnerPRESIDENT AND DIRECTOR, ownership code C, individual
Jun 7, 2013 to presentfactForm ADV
← C••••••• C•••••• M••••••••• L•••Owner

Dated events

Occurred
Mar 31, 2021
Control person left
Billy Lenard Tessler (Senior Managing Director And Vice Chairman) no longer on Schedule A of C••••••• S••••••••• I• L•• (listed 2020-03-30, absent 2021-03-31)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2021
Control person left
Ethan Matthew Zames (President) no longer on Schedule A of C••••••• S••••••••• I• L•• (listed 2020-03-30, absent 2021-03-31)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2020
Control person joined
D•••• A•••••••• B••••••• (Senior Managing Director, General Counsel) appeared on Schedule A of C••••••• S••••••••• I• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c9663e1-b0a1-3b98-90a3-a5e9a201845b
First observed: Jun 7, 2013
Last observed: Mar 31, 2021 66 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.