DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

N•••••• I••••••••• M••••••••• L••

CRD 106783

NEW YORK, NY

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Search this name across graphsid dfx:ria:4401f559-7711-2975-7af7-e0de1ed91b97

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 7
On other graphs: 0
Observed: Mar 28, 2012 to Mar 30, 2026
23 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=9.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••••• E••••••• G••••• P•••••••• L•••	Hedge Fund	$165M	Apr 25, 2024	41	Mar 28, 2012	reported	021-89084
N•••••• C••••••••• ••• F•••• L•••	Hedge Fund	$42.6M	Apr 25, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• J••••• M••••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2004	Mar 28, 2012	Apr 25, 2024
B•••• J•••• O•••••	MD/EVP - PORTFOLIO MANAGER	Na	yes	01/2010	Mar 28, 2012	Apr 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••• • C••••••• L••	n/a	No RAUM reported	$0	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$1.8B	$1.4B	28.1%	$623M	42.4%	11	11	0	0

Relationships

Affiliated with (3)

→ N•••••• • C••••••• L••Registered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← N•••••• • C••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← N•••••• CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (3)

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
N•••••• I••••••••• M••••••••• L•• reported RAUM $1.8B, up 28% from $1.4B (2025-03-31 to 2026-03-30)
Form ADVobserved 7 days ago
$395M
Occurred
Mar 31, 2025
Regulatory AUM changed
N•••••• I••••••••• M••••••••• L•• reported RAUM $1.4B, up 52% from $926.1M (2024-04-25 to 2025-03-31)
Form ADVobserved 7 days ago
$480M
Occurred
Mar 28, 2024
Regulatory AUM changed
N•••••• I••••••••• M••••••••• L•• reported RAUM $926.1M, up 49% from $623.4M (2023-04-28 to 2024-03-28)
Form ADVobserved 7 days ago
$303M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4401f559-7711-2975-7af7-e0de1ed91b97
First observed: Mar 28, 2012
Last observed: Mar 30, 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.