DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

A•••• G•••• L••

CRD 158290

RYE, NY

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Search this name across graphsid dfx:ria:2b84bff7-3ee1-a3de-f199-596158293d3a

Data as of May 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Feb 16, 2012 to May 26, 2026
27 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $289M••• Locked
Discretionary RAUM: $289M
Private client RAUM: $972,489derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••• E•••• D••••• F••• T••••	Hedge Fund	$26.6M	Nov 22, 2024	1	Feb 16, 2012	reported	021-188302
I•• I••••••••• U••• T•••• I•	Hedge Fund	$22.2M	Mar 7, 2012

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• T•••••• N••	PRESIDENT & CEO	E	yes	01/2001	Feb 16, 2012	Nov 22, 2024
H••••••• M•••••• J•	CHIEF COMPLIANCE OFFICER	Na	yes	04/2018	Mar 12, 2019	Nov 22, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$289M	$349M	-17.3%	$626M	-22.7%	10	11	0	0

Relationships

Advises (3)

→ A•••• E•••• D••••• F••• T••••Private fundHedge Fund, IA
Feb 16, 2012 to presentfactForm ADV
→ A•••• S••••• F••• T••••Private fundHedge Fund, IA, no longer reported
Feb 16, 2012 to Mar 28, 2014factForm ADV
→ I•• I••••••••• U••• T•••• I•Private fundHedge Fund, IA, no longer reported
Feb 16, 2012 to Mar 7, 2012factForm ADV

Controls (2)

Dated events

Occurred
Feb 28, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-183M
Occurred
Mar 12, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 12, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 2, 2018
Succession filed (Item 4)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b84bff7-3ee1-a3de-f199-596158293d3a
First observed: Feb 16, 2012
Last observed: May 26, 2026 4 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.