DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

T•• I••••••••• M••••••••• C•••••• L••

CRD 106546

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:308a3a15-4253-0cb8-6c72-2090f973aac1

Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 85
Dated events: 18
On other graphs: 1
Observed: Mar 30, 2012 to May 5, 2026
37 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

T•• I••••••••• M••••••••• C•••••• L••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.07 fund_share=0.92 institutional_share=0.02 related_bd=true related_bank=true bd_reps=81.0
Regulatory AUM: $39B••• Locked
Discretionary RAUM: $39B
Private client RAUM: $2.5Bderived••• Locked
Private client share: 7%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 40
RAUM per advisor: $970Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••• A• V••••••	n/a	LOS ANGELES, CA	20	25	n/a	yes
J••••••• M•••••• A••••••	Chartered Financial Analyst	New York, NY \| LOS ANGELES, CA	20	25

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• L•••••••• I••••• T••••• L•••	Securitized Asset Fund	$1.1M	Apr 5, 2016	54	Mar 30, 2012	dropped	021-9999999999
T•• L•••••••• I••••• T•••• I•• L•••	Securitized Asset Fund	$949,681

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•••••• J•••	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY	Na	yes	09/2023	Oct 2, 2023	Oct 10, 2024
C•••••• A••••••••• C••••	Shareholder	E	yes	02/2013	Feb 22, 2013	Oct 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• A•••• M••••••••• C•••••• L••	n/a	Other adviser	$81B	N	yes	n/a
M••••••••• W••• A•••• M••••••••• L••	n/a	Asset manager	$79B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	18	no
Boston	CA	United States	1	no
Danville	CA	United States	1	no
London	n/a	United Kingdom	1	no
n/a	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
5	1	4	2.5%	0	0	0	24	2

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	$39B	$40B	-3.3%	$38B	0.8%	405	419	6	5

Relationships

showing 80 of 85

Affiliated with (15)

→ M••••••••• W••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ T•• A•••• M••••••••• C•••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ B••••••• S••••• P•••••••• L•••Registered adviserother investment adviser, investment company, pooled vehicle sponsor, common control
factForm ADV
→ S•••••••• M••••••••• L••

Dated events

Occurred
Dec 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 12, 2023
Advisor changed firm
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:308a3a15-4253-0cb8-6c72-2090f973aac1
First observed: Mar 30, 2012
Last observed: May 5, 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.

Controls (13)

← B•••••• A•••••• J•••OwnerEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY, ownership code NA, individual
Oct 2, 2023 to Oct 10, 2024factForm ADV
← S••••• M•••• I••••OwnerBOARD MEMBER, CHAIRMAN, ownership code NA, individual
Mar 30, 2012 to Oct 10, 2024factForm ADV
← K•••• K••••••• A••••OwnerBOARD MEMBER, PRESIDENT, CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2023 to Oct 10, 2024factForm ADV
← S•••••• M••••••• L•••OwnerEXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2024 to Oct 10, 2024factForm ADV
← X•••••• G•••••OwnerGLOBAL CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 8, 2021 to Oct 10, 2024factForm ADV
← V••••• R••••••• M•••••OwnerEXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to Oct 10, 2024factForm ADV
← C•••••• A••••••••• C••••OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 22, 2013 to Oct 10, 2024factForm ADV
← C•••••• G•• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 22, 2013 to Oct 10, 2024factForm ADV
← C•••••• H••••••• L•••OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 22, 2013 to Oct 10, 2024factForm ADV
← C•••••• I••••••••• C••••OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 22, 2013 to Oct 10, 2024factForm ADV
← N••••• L••• A•••••••• I•••OwnerSHAREHOLDER, ownership code C, domestic entity
Oct 10, 2024 to Oct 10, 2024factForm ADV
← N••••• L••• I•••••••• C••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Oct 10, 2024 to Oct 10, 2024factForm ADV
← T•• T•• G••••• I•••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2012 to Oct 10, 2024factForm ADV