DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

S••••• B•••• A••••••••• I••

CRD 105056

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d8817a3-223b-1831-5359-dc3733569fb1

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Mar 19, 2026
19 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: other adviserderivedprivate_client_share=0.08 fund_share=0.0 institutional_share=0.63 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $5.5B••• Locked
Discretionary RAUM: $5.4B
Private client RAUM: $431Mderived••• Locked
Private client share: 8%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••• W•••••• J•••	CHAIRPERSON OF THE BOARD	E	yes	07/2022	Mar 29, 2023	Mar 28, 2024
W•••••• D••••••• H••••	EXECUTIVE VICE PRESIDENT	A	yes	01/2022	Mar 28, 2012	Mar 28, 2024

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	$5.5B	$4.8B	14.2%	$3.6B	14.7%	17	17	0	0

Relationships

Owns (2)

← N•••••• M••••••••• R••••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 23, 2021 to Mar 28, 2024factForm ADV
← G•••••••• R•••OwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to Mar 28, 2024factForm ADV

Controls (4)

← W•••••• P••••• B••••OwnerPRESIDENT, ownership code A, individual
Mar 28, 2012 to Mar 28, 2024factForm ADV
← W•••••• D••••••• H••••OwnerEXECUTIVE VICE PRESIDENT, ownership code A, individual

Dated events

Occurred
Mar 29, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d8817a3-223b-1831-5359-dc3733569fb1
First observed: Mar 28, 2012
Last observed: Mar 19, 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.