DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserother adviserSEC registeredRAUM over $100B

I•••••• I•••••••••

I•••••• N•••• A•••••• LLC, CRD 145995

NEW Y•••, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2ebd3306-77d9-9c5a-6f7f-47e3931d6834

Data as of Jun 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 69
Dated events: 18
On other graphs: 0
Observed: Dec 19, 2011 to Jun 2, 2026
57 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: other adviserderivedprivate_client_share=0.03 fund_share=0.35 institutional_share=0.51 related_bd=true related_bank=true bd_reps=25.0
Regulatory AUM: $171B••• Locked
Discretionary RAUM: $163B
Private client RAUM: $5.5Bderived••• Locked
Private client share: 3%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 238

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
3•••••••••	Securitized Asset Fund	$460M	Oct 3, 2021	0	Mar 30, 2016	dropped	n/a
1•••••••••	Securitized Asset Fund	$234M	Oct 3, 2021

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• J•••	HEAD OF FINANCE	Na	yes	03/2023	Mar 29, 2024	Sep 27, 2024
B•• M••••• I••• L••	Shareholder	E	yes	12/2016	Mar 31, 2019	Sep 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• I••••••••• C•••••••••	n/a	Asset manager	$874B	N	yes	n/a
B•• M••••• I••••••••• A••••••• I•••	n/a	Asset manager	$419B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
B•••••	Ma	United States	30	yes
SAN FRANCISCO	CA	United States	15	no
Denver	Co	United States	2	no

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	$171B	$140B	21.9%	$119B	12.8%	238	218	3	3

Relationships

Affiliated with (44)

← B•• M••••• I••••••••• A••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
← M••••• I••••••••• C•••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
← N••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← B•• M••••• E•• I••••••••• A••••••• L••Registered adviser

Dated events

Occurred
Sep 27, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 27, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 18, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2024
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2ebd3306-77d9-9c5a-6f7f-47e3931d6834
First observed: Dec 19, 2011
Last observed: Jun 2, 2026 3 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.