DFX Intelligence

S••••••• W••••• I••••••••• P••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

S••••••• W••••• I••••••••• P••••••••• L••

CRD 111259

E••••••••

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Search this name across graphs

Data as of May 13, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 38
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to May 13, 2014
6 observations

Across DFX

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

Private Creditidentity

S••••••• W••••• I••••••••• P••••••••• L••

Private credit manager · key_crd, shared_crd

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: $242B••• Locked
Discretionary RAUM: $236B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 482
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• P••••••• T••••	Other Private Fund	$3.7B	Mar 28, 2013	1,579	Mar 28, 2013	dropped	n/a
S••• S••••••• C••••• A•••••••• F•••	Other Private Fund	$1.8B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• A•••• M••••••••• P••	PARENT COMPANY	E	yes	04/2014	Apr 17, 2014	May 13, 2014
B••••• J•••• M••••••	Director	Na	yes	04/2014	Apr 17, 2014	May 13, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• W••••• I••••••••• P••••••••• L••	n/a	Former SEC adviser	$242B	N	yes	n/a
A••••••• A•••• M••••••• L••••••	n/a	Asset manager	$207B	N	yes	n/a

Offices

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2013	$242B	$230B	5.1%	n/a	n/a	482	472	n/a	n/a

Relationships

Affiliated with (4)

→ A•••• A•••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ A•••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S••••••• W••••• I••••••••• P••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A•••• I••••••••• L••••••Registered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: May 13, 2014 150 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.

All 24 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• E••••••• F•••	Other Private Fund	$83.7M	Mar 30, 2012	1,150	Mar 30, 2012	dropped	n/a
S••• U• S•••••• C•••••••• F•••	Other Private Fund	$73.5M	Mar 30, 2012	2,400	Mar 30, 2012	dropped	n/a
L••••• I••••••••• F•••• L•••••• I••••••••• F•••	Other Private Fund	$44.0M	May 13, 2014	1,242	Mar 30, 2012	reported	n/a
L••••• I••••••••• F•••• L•••••• S••••••• B••• F•••	Other Private Fund	$38.0M	May 13, 2014	629	Mar 30, 2012	reported	n/a
S••• N•••• A••••••• F•••	Other Private Fund	$38.0M	Mar 28, 2013	598	Mar 30, 2012	dropped	n/a
L••••• I••••••••• F•••• L•••••• U• F•••	Other Private Fund	$36.0M	May 13, 2014	904	Mar 30, 2012	reported	n/a
S••• G••••• F•••	Other Private Fund	$30.6M	Mar 30, 2012	1,500	Mar 30, 2012	dropped	n/a
L••••• I••••••••• F•••• L•••••• E••••••• F•••	Other Private Fund	$28.0M	May 13, 2014	887	Mar 30, 2012	reported	n/a
S••• U• F••••••• S••••••• F•••	Other Private Fund	$20.7M	Mar 30, 2012	49	Mar 30, 2012	dropped	n/a
L••••• T•• O••••••• F•••• L•••••• • C•••••• G••••• F•••	Other Private Fund	$20.0M	Mar 28, 2013	350	Mar 30, 2012	dropped	n/a
S••• F•••••••• F•••	Other Private Fund	$19.2M	Mar 30, 2012	500	Mar 30, 2012	dropped	n/a
L••••• I••••••••• F•••• L•••••• E••• H••• I••••• F•••	Other Private Fund	$18.0M	May 13, 2014	362	Mar 30, 2012	reported	n/a
L••••• I••••••••• F•••• L•••••• N•••• A••••••• F•••	Other Private Fund	$15.0M	May 13, 2014	568	Mar 30, 2012	reported	n/a
S••• J••••••• F•••	Other Private Fund	$8.6M	Mar 30, 2012	250	Mar 30, 2012	dropped	n/a

All 28 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• F••• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a
A••••••• G•••••• P•••••• C••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• G•••••• P•••••• C•••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• G•••••• P•••••• C•••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• G•••••• P•••••• C•••• I• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• G•••••• P•••••• C•••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• G••••• E•••••••• C••• G• I••	n/a	n/a	n/a	N	yes	n/a
A••••••• G••••• S••••••• S•••	n/a	n/a	n/a	N	yes	n/a
A••••••• I••••••••• F••• M••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• I••••••••• S••••••••• I••••••••• C••••••••• C•••••• L••	n/a	n/a	n/a	N	yes	n/a
A••••••• P•••••• W••••• M••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• S•• P•••••• E••••• M••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• S•• P•••••• E•••• A••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
E•••••••• F••• M••••••• G•••• L••••••	n/a	n/a	n/a	N	yes	n/a
G•••••• I••••••••• M••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
L••••• T•• I••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
S••• F••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
S••• M••••••••• F•••• L••••••	n/a	n/a	n/a	N	yes	n/a