DFX Intelligence

R• A••••••• G••••• L••: 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 adviserformer SEC advisernot on rosterRAUM 100m 1b

R• A••••••• G••••• L••

CRD 124540

NEW YORK, 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:2fba7113-a254-22c0-03d0-ec33c3b26f8c

Data as of Dec 10, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2012 to Dec 10, 2013
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $549M••• Locked
Discretionary RAUM: $481M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••••• R••••••• A•••	CO-MANAGING MEMBER	C	yes	01/2003	Jan 5, 2012	Dec 10, 2013
R••••••• R••••••• J•••••	CO-MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	C	yes	11/2005	Jan 5, 2012	Dec 10, 2013

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 28, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$549M	$465M	18.2%	n/a	n/a	19	n/a	n/a	n/a

Relationships

Controls (2)

← R••••••• R••••••• J•••••OwnerCO-MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Jan 5, 2012 to presentfactForm ADV
← R••••••••• R••••••• A•••OwnerCO-MANAGING MEMBER, ownership code C, individual
Jan 5, 2012 to presentfactForm ADV

Owns (1)

← M•••••••• J•••••• B••••OwnerMEMBER, ownership code A, individual
Jan 5, 2012 to presentfactForm ADV

Registered with (1)

← R•••••• A••• R••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2fba7113-a254-22c0-03d0-ec33c3b26f8c
First observed: Jan 5, 2012
Last observed: Dec 10, 2013 155 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.