DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

D••••• S••••• L•••

CRD 285701

NEW YORK, NY

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Search this name across graphsid dfx:ria:2e6f4a65-9174-aaeb-0b1e-a4e4cf4954c4

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Nov 16, 2016 to Mar 19, 2026
15 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: $256M••• Locked
Discretionary RAUM: $256M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• S••••• L••	GENERAL PARTNER	Na	yes	10/2019	Sep 17, 2020	Mar 19, 2024
G••••••••• R••••••• L•••••••	PRINCIPAL, GENERAL PARTNER, CO-CIO	C	yes	12/2009	Nov 16, 2016	Mar 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••• S•••• • C••• I•••	n/a	Other adviser	$5.6B	N	yes	n/a
D••••• S••••• L••	n/a	n/a	n/a	N	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	$256M	$215M	18.9%	$108M	33.5%	11	10	0	0

Relationships

Affiliated with (2)

→ D••••• S•••• • C••• I•••Registered adviserother investment adviser, common control
factForm ADV
← D••••• S•••• • C••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (4)

← S•••• K••••OwnerPRINCIPAL, MACRO ANALYST & TRADER, ownership code C, individual
Nov 16, 2016 to Mar 19, 2024factForm ADV
← H••••••• J••• E•••••Owner

Dated events

Occurred
Mar 22, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-119M
Occurred
Mar 10, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-117M
Occurred
Nov 14, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 16, 2016
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e6f4a65-9174-aaeb-0b1e-a4e4cf4954c4
First observed: Nov 16, 2016
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.