DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

S••••• P•••• S•••••••• C••••• F••• M••••••••• L••

CRD 295464

GREENWICH, CT

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Data as of Mar 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 1
Observed: Jan 23, 2019 to Mar 29, 2020
2 observations

Across DFX

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

Allocatorsidentity

S••••• P•••• S•••••••• C••••• F••• M••••••••• L••

Manager with allocator commitments · same 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: $960M••• Locked
Discretionary RAUM: $960M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 145
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••• E•••••• A•	CHIEF EXECUTIVE OFFICER, PARTNER	C	yes	12/2001	Jan 23, 2019	Mar 29, 2020
M•••• E•••••• A•	C•••• E•••••••• O••••••• P••••••• S••••• P•••• C••••••• L•••	Na	yes	12/2001	Jan 23, 2019	Mar 29, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• P•••• C••••••• L•••	n/a	Asset manager	$46B	Y	yes	n/a
S••••• P•••• C•••••• G•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 29, 2020	$960M	$960M	145	56	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$960M	n/a	n/a	n/a	n/a	145	n/a	0	n/a

Relationships

Affiliated with (1)

→ S••••• P•••• C••••••• L•••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (4)

← S••••• P•••• C••••••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Jan 23, 2019 to presentfactForm ADV
← M•••• E•••••• A•OwnerCHIEF EXECUTIVE OFFICER, PARTNER, ownership code C, individual
Jan 23, 2019 to presentfactForm ADV
← O••••• R•••••• J••••OwnerCHAIRMAN, PARTNER, S••••• P•••• C••••••• L•••, ownership code NA, individual

Dated events

Order

Occurred
23 Jan 2019
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 23, 2019
Last observed: Mar 29, 2020 79 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 15 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• S•••••	C•••• F•••••••• O•••••• • M••••••••• C••••••• S••••• P•••• C••••••• L•••	Na	no	01/2020	Mar 29, 2020	Mar 29, 2020
R•••••••• D••••• A•	P••••••• S••••• P•••• C••••••• L•••	Na	no	03/2019	Mar 29, 2020	Mar 29, 2020
S•••••• A•••••• O•••••	C•••• O•••••••• O••••••• S••••• P•••• C••••••• L•••	Na	no	02/2018	Jan 23, 2019	Mar 29, 2020
T••••• E••• R••••	H••• O• I••••••• R•••••••• A•• B••••••• D••••••••• P••••••• S••••• P•••• C••••••• L•••	Na	no	08/2003	Jan 23, 2019	Mar 29, 2020
W•••••• S•••••• E••••••	C•••• C••••••••• O••••••• S••••• P•••• C••••••• L•••	Na	no	01/2011	Jan 23, 2019	Mar 29, 2020