DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM over $100B

O•• G••••• A•••• M••••••••• I•••

CRD 161556

NEW YORK, NY

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Search this name across graphsid dfx:ria:3b867291-7d9d-89c3-48b0-ef9cc2c7803c

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 2
On other graphs: 0
Observed: Jun 1, 2012 to Mar 29, 2019
18 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: $204B••• Locked
Discretionary RAUM: $204B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1,394
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• F••• L•••	Other Private Fund	$58.8M	Mar 30, 2016	1	Mar 30, 2012	dropped	n/a
O••••••••• G••••• M••••••••• F••• V• ••••••• L•••	Other Private Fund	$13.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• K••••••• M••••	SENIOR VICE PRESIDENT & TREASURER	Na	yes	01/2013	Jan 14, 2013	Mar 29, 2019
L• B•••••••• C••••••	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & SECRETARY	Na	yes	02/2016	Mar 30, 2016	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••• L••	n/a	I•••••••••_MANAGER	$393B	N	yes	n/a
S••••••••• A•••• M••••••••• L••	n/a	Other adviser	$31B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Centennial	Co	United States	27	yes
Rochester	NY	United States	22	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$204B	$205B	-0.1%	$183B	3.7%	1,394	1,352	2	2

Relationships

Affiliated with (14)

← O•• P•••••• I••••••••• I••Registered adviserother investment adviser, bank, common control
factForm ADV
→ H••••••••• A•••• M••••••••• C•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ O••••••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
→ B•••••• L••Registered adviser

Dated events

Occurred
Mar 29, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 1, 2012
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b867291-7d9d-89c3-48b0-ef9cc2c7803c
First observed: Jun 1, 2012
Last observed: Mar 29, 2019 91 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.