DFX Intelligence

N••••• F•••• R••••••• A•• T••••••••• A•••••• I•••: 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 adviserformer SEC adviserNot on rosterRAUM 100m 1b

N••••• F•••• R••••••• A•• T••••••••• A•••••• I•••

CRD 113324

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 graphs

Data as of Sep 14, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Sep 14, 2012
3 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $702M••• Locked
Discretionary RAUM: $401M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 11
Private funds

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• S••••••	Director	Na	yes	04/2012	Jun 29, 2012	Sep 14, 2012
C••••••• F••••••• L•	VICE PRESIDENT, HEAD OF BUSINESS OPERATIONS	Na	yes	10/2010	Mar 30, 2012	Sep 14, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••• A•••• M••••••••• C••• L•••	n/a	Asset manager	$602B	N	yes	n/a
N••••• C•••••••• R••••••• A•• A•••• M••••••••• I••	n/a	Other adviser	$38B	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Jun 29, 2012	$702M	$401M	n/a	n/a	n/a	1	$57.8M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$702M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (8)

→ N••••• A•••• M••••••••• U••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ N••••• A•••• M••••••••• H••• K••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ N••••• C•••••••• R••••••• A•• A•••• M••••••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ N••••• A•••• M••••••••• S•••••••• L••••••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Sep 14, 2012 170 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

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