DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

R•••••••• A•••••••• L••

CRD 150646

NEW YORK, NY

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Search this name across graphsid dfx:ria:385913e4-903e-d840-635f-686839f4adc4

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to Mar 20, 2026
20 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=false bd_reps=2.0
Regulatory AUM: $836M••• Locked
Discretionary RAUM: $836M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• P•••• C••••	CHIEF FINANCIAL OFFICER	Na	yes	06/2009	Mar 30, 2012	Mar 21, 2024
G••••••• K••••••• R•	CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER	Na	yes	10/2017	Oct 19, 2017	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••••• C•••••• M••••••••• L••	n/a	Asset manager	$299M	N	yes	n/a
R• V••••••• I••••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
R• V••••••• I••••••••• I••• L••

Regulatory AUM by fiscal year

••• Locked

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

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	$836M	$907M	-7.8%	$2.0B	-25.0%	17	17	0	0

Relationships

Affiliated with (3)

→ R•••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← R•••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← ACTIVE ETF PARTNERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (5)

← S•••••• M•••••••• A•••

Dated events

Occurred
Mar 21, 2024
Regulatory AUM changed
R•••••••• A•••••••• L•• reported RAUM $935.0M, down 53% from $2.0B (2023-03-27 to 2024-03-21)
Form ADVobserved 7 days ago
$-1.0B
Occurred
Mar 27, 2023
Regulatory AUM changed
R•••••••• A•••••••• L•• reported RAUM $2.0B, down 31% from $2.8B (2022-03-29 to 2023-03-27)
Form ADVobserved 7 days ago
$-869M
Occurred
Mar 27, 2023
Control person left
Joseph Mitchell Rubin (Chief Investment Officer) no longer on Schedule A of R•••••••• A•••••••• L•• (listed 2022-03-29, absent 2023-03-27)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:385913e4-903e-d840-635f-686839f4adc4
First observed: Mar 30, 2012
Last observed: Mar 20, 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.