DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

T•••• C•••••• M••••••••• ••• L••

CRD 329865

ST HELIER

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Search this name across graphsid dfx:ria:3d3a8e96-ea87-2f01-a682-7d671cac924d

Data as of Sep 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 10
On other graphs: 0
Observed: Feb 6, 2024 to Sep 10, 2026
6 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=true bd_reps=0.0
Regulatory AUM: $211B••• Locked
Discretionary RAUM: $211B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• N••••••• S•••••	GLOBAL CHIEF OPERATING OFFICER	Na	yes	11/2023	Feb 6, 2024	Jul 3, 2024
B•••• A•••••• H•••••	CHIEF COMPLIANCE OFFICER	Na	yes	11/2023	Feb 6, 2024	Jul 3, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••• C•••••• M••••••••• ••• L••	n/a	Asset manager	$273B	N	yes	n/a
T•••• C•••••• M••••••••• ••••••• L••••••	n/a	Asset manager	$211B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	7	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$211B	$160B	31.5%	n/a	n/a	23	16	3	1

Relationships

Affiliated with (5)

→ T•••• C•••••• M••••••••• ••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ T•••• C•••••• M••••••••• ••••••• L•Registered adviserother investment adviser, bank, common control
factForm ADV
← T•••• C•••••• M••••••••• ••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← T•••• C•••••• M••••••••• ••• L••Registered adviser

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 10, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Sep 10, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Sep 10, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d3a8e96-ea87-2f01-a682-7d671cac924d
First observed: Feb 6, 2024
Last observed: Sep 10, 2026 13 days 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.