DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

I•••••• R• F••• L••

CRD 301135

NEW YORK, NY

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Search this name across graphsid dfx:ria:275f5eff-fec5-fd4a-f8ab-4ea4455a2f1e

Data as of Feb 1, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 4
On other graphs: 0
Observed: Mar 29, 2019 to Feb 1, 2021
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $3.6B••• Locked
Discretionary RAUM: $3.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 75
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
I•••••• A•••••••• I•••	SOLE SHAREHOLDER	E	yes	12/2005	Mar 29, 2019	Feb 1, 2021
I•••••• G•••• S•••••••• I•••	SOLE SHAREHOLDER	E	yes	06/2018	Mar 29, 2019	Feb 1, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• S••••• S•••••• M••••••••• I•••	n/a	Asset manager	$29B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
DOWNERS GROVE	IL	United States	9	no
Centennial	Co	United States	7	no
London	n/a	United Kingdom	4	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 12, 2020	$3.6B	$3.6B	75	48	3	7	$3.6B

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$3.6B	n/a	n/a	n/a	n/a	75	n/a	3	n/a

Relationships

Affiliated with (12)

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

Dated events

Occurred
Feb 1, 2021
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 1, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 12, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$1.1B
Occurred
Mar 29, 2019
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:275f5eff-fec5-fd4a-f8ab-4ea4455a2f1e
First observed: Mar 29, 2019
Last observed: Feb 1, 2021 68 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.