DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A•••• I••••••••• M••••••••• L••

CRD 141516

NEW YORK, NY

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Search this name across graphsid dfx:ria:41b57462-649e-c576-054f-03e748790385

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Apr 15, 2026
29 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: independent wealth managerderivedprivate_client_share=0.75 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=9.0
Regulatory AUM: $237M••• Locked
Discretionary RAUM: $237M
Private client RAUM: $177Mderived••• Locked
Private client share: 75%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $237Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••• F•••••• D•••••	n/a	NEW YORK, NY	4	41	n/a	yes

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• L•••• F••••••	CEO, MANAGING MEMBER, CHAIRMAN, COMPTROLLER	E	yes	08/2006	Mar 29, 2012	Mar 27, 2024
M•••••• E•••• L••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2011	Mar 29, 2012	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• C•••••• M••••••••• I•••	n/a	n/a	n/a	Y	yes	n/a
D•••••• C•••••••••	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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$237M	$234M	1.3%	$136M	20.2%	10	11	0	0

Relationships

Registered with (1)

← L••• F•••••• D•••••Advisorregistration: current employment
Dec 2, 2021 to presentfactForm ADV

Controls (2)

← D•••••• L•••• F••••••OwnerCEO, MANAGING MEMBER, CHAIRMAN, COMPTROLLER, ownership code E, individual
Mar 29, 2012 to Mar 27, 2024factForm ADV
← M•••••• E•••• L••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to Mar 27, 2024factForm ADV

Owns (1)

Dated events

Occurred
Apr 14, 2020
Regulatory AUM changed
A•••• I••••••••• M••••••••• L•• reported RAUM $214.0M, down 73% from $794.0M (2019-03-28 to 2020-04-14)
Form ADVobserved 7 days ago
$-580M
Occurred
Mar 28, 2019
Regulatory AUM changed
A•••• I••••••••• M••••••••• L•• reported RAUM $794.0M, up 571% from $118.4M (2018-10-19 to 2019-03-28)
Form ADVobserved 7 days ago
$676M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41b57462-649e-c576-054f-03e748790385
First observed: Mar 29, 2012
Last observed: Apr 15, 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.