DFX Intelligence

A••• B••••• G•••• ••• 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 100m 1b

A••• B••••• G•••• ••• L••

CRD 291072

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:49241471-9028-9c1e-a575-3c17998a9b81

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 9
On other graphs: 0
Observed: Jun 30, 2021 to Mar 31, 2026
8 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=false related_bank=true bd_reps=0.0
Regulatory AUM: $219M••• Locked
Discretionary RAUM: $219M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• B••••• M••••••• M••••• F••• L•••	Hedge Fund	$226M	Mar 28, 2024	31	Mar 28, 2019	reported	021-299107
A••• B••••• M••••••• I••••••••• F••• L••••••	Hedge Fund	$107M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• M••••••••• L••	Shareholder	E	yes	03/2017	Jun 30, 2021	Mar 28, 2024
A•••• S••••• P•••• T•	PRESIDENT & PORTFOLIO MANAGER	Na	yes	01/2023	Feb 15, 2023	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• B••••• G•••• ••• L••	n/a	Asset manager	$1.4B	N	yes	n/a
A•• C•••••• P••••••• I• G•• L•••	n/a	n/a	n/a	N	yes	n/a
A•• I••••••••• C•••••• P••••••• I•• G•• L•••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$219M	$168M	30.4%	$147M	14.3%	7	6	1	1

Relationships

Affiliated with (2)

← A••• B••••• G•••• ••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••• B••••• G•••• ••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (3)

→ A••• B••••• M••••••• I••••••••• F••• L••••••Private fundHedge Fund, IA
Jun 30, 2021 to presentfactForm ADV
→ A••• B••••• M••••••• U• F••• L•••

Dated events

Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-213M
Occurred
Feb 15, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49241471-9028-9c1e-a575-3c17998a9b81
First observed: Jun 30, 2021
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.