DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

V••••• F•••• I••••• A•••••••• L••

CRD 146029

HARTFORD, CT

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Search this name across graphsid dfx:ria:204517be-d0f6-a272-647b-04318c25db25

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 88
Dated events: 7
On other graphs: 1
Observed: Mar 29, 2012 to Mar 30, 2026
38 observations

Across DFX

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

Private Creditidentity

V••••• F•••• I••••• A•••••••• L••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.01 fund_share=0.53 institutional_share=0.43 related_bd=true related_bank=true bd_reps=24.0
Regulatory AUM: $35B••• Locked
Discretionary RAUM: $35B
Private client RAUM: $521Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $8.7Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••••• G••••	n/a	HARTFORD, CT \| FLORHAM PARK, NJ	13	34	n/a	yes
M•••••• G••••• S••••••	Chartered Financial Analyst	ATLANTA, GA \| HARTFORD, CT	13	24

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••••• V••• C•• I• L•••	Securitized Asset Fund	$543M	Mar 27, 2024	10	Mar 30, 2016	reported	n/a
M••••••• V••• C•• X• L•••	Securitized Asset Fund	$415M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• M••••••• A••••	EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER	Na	yes	06/2017	Jun 29, 2017	Mar 27, 2024
P••••••••• A••••• C••••••	EXECUTIVE VICE PRESIDENT AND CHIEF LEGAL OFFICER	Na	yes	11/2023	Nov 28, 2023	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••••• I••••••••• A•••••••• I•••	n/a	Asset manager	$52B	N	yes	n/a
K•••• A••••••• R•••••• I••••••••• M••••••••• L••	n/a	Mixed wealth	$39B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
PARK RIDGE	Nj	United States	27	no
NEW YORK	NY	United States	22	no
London	n/a	United Kingdom	10	no
Orlando	FL	United States	4	no
Singapore	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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

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	$35B	$33B	5.8%	$32B	2.8%	95	96	6	6

Relationships

showing 80 of 88

Affiliated with (35)

← V••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← V••••• C•••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← V••••• A••••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← W••••••••• C•••••• P•••••••• L••

Dated events

Occurred
Feb 20, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 28, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 27, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 29, 2022
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:204517be-d0f6-a272-647b-04318c25db25
First observed: Mar 29, 2012
Last observed: Mar 30, 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.