DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

C•••••••• D•• A•••••• L••

CRD 304945

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4157add1-ae9b-30dd-813c-1f5a4ef43d56

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 20
On other graphs: 0
Observed: Aug 1, 2019 to Mar 31, 2026
14 observations

Across DFX

name candidates only

Private Creditcandidate

C•••••••• D•• A•••••• L••

Credit provider · name unique adv

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=true related_bank=true bd_reps=15.0
Regulatory AUM: $2.1BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.1B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• K••••••• J•••	CHIEF EXECUTIVE OFFICER & PRESIDENT	Na	yes	04/2019	Aug 1, 2019	Apr 2, 2024
K••••••• C••••••••• B•••	PRINCIPAL, CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Mar 30, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 54

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A•••••••• L••	n/a	Former SEC adviser	$436B	N	yes	n/a
T•••••••• I••••••••• M••••••••• L••	n/a	Asset manager	$292B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	20	no
Chicago	IL	United States	9	no
EL SEGUNDO	CA	United States	3	no
Dallas	TX	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.1B	$2.1B	-4.2%	$1.6B	8.4%	206	198	4	4

Relationships

Affiliated with (24)

← ADVICE AND PLANNING SERVICESRegistered adviserother investment adviser, common control
factForm ADV
← T•••••••• TUITION FINANCING, INC.Registered adviserother investment adviser, common control
factForm ADV
← C•••••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← G•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 30, 2024
Control person joined
Beth Charmagne Kukulka (Principal, Chief Compliance Officer) appeared on Schedule A of C•••••••• D•• A•••••• L••
Form ADVobserved 7 days ago
Occurred
Jun 30, 2023
Control person left
Emil Thomas Grenville (Chief Compliance Officer & Managing Director) no longer on Schedule A of C•••••••• D•• A•••••• L•• (listed 2023-03-31, absent 2023-06-30)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
C•••••••• D•• A•••••• L•• reported RAUM $1.6B, up 109% from $772.0M (2022-04-30 to 2023-03-31)
Form ADVobserved 7 days ago
$842M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4157add1-ae9b-30dd-813c-1f5a4ef43d56
First observed: Aug 1, 2019
Last observed: Mar 31, 2026 5 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.