DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

M•••••••• S••••••••• L••

CRD 131497

NEW YORK, NY

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Search this name across graphsid dfx:ria:1d749929-8589-f9d2-54e5-4f3fdf27532b

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2014
3 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
Regulatory AUM: $278M••• Locked
Discretionary RAUM: $273M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 40
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• L••••• J•••••••	MANAGING DIRECTOR	Na	yes	05/2004	Mar 30, 2012	Mar 31, 2014
C•••••••• K••••••• F••••••	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	Na	yes	05/2004	Mar 30, 2012	Mar 31, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••••• M••••••••• L••	n/a	Asset manager	$2.5B	N	yes	n/a
M•••••••• C•••••• P••••••• C••••• G•• 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
2013	Mar 31, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$278M	$256M	8.8%	n/a	n/a	40	40	n/a	n/a

Relationships

Affiliated with (1)

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

Controls (8)

← H••••••• M••••••• C••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← H•••••• M•••• F••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← C•••••••• K••••••• F••••••OwnerCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d749929-8589-f9d2-54e5-4f3fdf27532b
First observed: Mar 30, 2012
Last observed: Mar 31, 2014 151 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.