DFX Intelligence

O•• G••••• I••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

O•• G••••• I••••••••• I•••

CRD 110363

NEW YORK, NY

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Search this name across graphsid dfx:ria:4cb858a8-58e2-f673-05c4-110a3035da24

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 29, 2019
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

O•• G••••• I••••••••• I•••

Private credit manager · shared crd

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: $11B••• Locked
Discretionary RAUM: $9.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 220
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•• G•••••• C••••••••• S••••••• F••• I•• L••	Hedge Fund	$44.1M	May 1, 2013	1	Mar 28, 2013	dropped	n/a
O•• I••••••••• C••••••••• S••••••• F••• I• L••	Hedge Fund	$23.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• K••••••• M••••	Treasurer	Na	yes	01/2013	Jan 14, 2013	Mar 29, 2019
L• B•••••••• C••••••	CHIEF LEGAL OFFICER	Na	yes	02/2016	Mar 30, 2016	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•• G••••• A•••• M••••••••• I•••	n/a	Former SEC adviser	$204B	N	yes	n/a
S••••••••• A•••• M••••••••• L••	n/a	Other adviser	$31B	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Centennial	Co	United States	27	yes
Rochester	NY	United States	22	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$11B	$10B	5.0%	$8.0B	9.5%	220	221	2	2

Relationships

Affiliated with (16)

← O•• P•••••• I••••••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ H••••••••• A•••• M••••••••• C•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
→ O••••••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
→ O•• P•••••• I••••••••• I••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4cb858a8-58e2-f673-05c4-110a3035da24
First observed: Mar 30, 2012
Last observed: Mar 29, 2019 91 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.