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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

D• A••••••• A••••••• L•••••••••

CRD 313938

NEW YORK, NY

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Search this name across graphsid dfx:ria:22582a35-88a5-f063-dca9-7d7484f4c3eb

Data as of Jan 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 4
On other graphs: 0
Observed: May 20, 2021 to Jan 29, 2026
9 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.3BItem 5.F on the latest filing (2026-01-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••••••• J•••	n/a	NEW YORK, NY	2	17	n/a	no
Y••• O•• P•••	n/a	NEW YORK, NY	0	22

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D• I•••••••• C••• L•••	Owner	E	yes	07/2020	May 20, 2021	Feb 15, 2024
P•••• Y••• O••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	07/2020	May 20, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D• I•••••••• C••• L•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.3B	$1.1B	19.0%	$882M	13.8%	2	3	0	0

Relationships

Registered with (2)

← Y••• Ook P•••Advisorregistration: current employment
Oct 10, 2025 to presentfactForm ADV
← K•••••••• J•••Advisorregistration: current employment
Nov 30, 2023 to presentfactForm ADV

Controls (2)

← P•••• Y••• O••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 20, 2021 to Feb 15, 2024factForm ADV
← D• I•••••••• C••• L•••

Dated events

Occurred
Feb 15, 2024
Regulatory AUM changed
D• A••••••• A••••••• L••••••••• reported RAUM $1.2B, up 35% from $882.0M (2023-02-10 to 2024-02-15)
Form ADVobserved 7 days ago
$313M
Occurred
Feb 10, 2023
Regulatory AUM changed
D• A••••••• A••••••• L••••••••• reported RAUM $882.0M, up 38% from $641.0M (2022-03-08 to 2023-02-10)
Form ADVobserved 7 days ago
$241M
Occurred
Mar 1, 2022
Regulatory AUM changed
D• A••••••• A••••••• L••••••••• reported RAUM $641.0M, up 60% from $401.4M (2021-10-20 to 2022-03-01)
Form ADVobserved 7 days ago
$240M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22582a35-88a5-f063-dca9-7d7484f4c3eb
First observed: May 20, 2021
Last observed: Jan 29, 2026 7 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.