DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A•• A•••••• L••

CRD 318888

WEST PALM BEACH, FL

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Search this name across graphsid dfx:ria:50f74600-eb32-ef90-1aaf-8305277623cf

Data as of May 24, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2022 to May 24, 2022
2 observations

Across DFX

name candidates only

Private Creditcandidate

A•• A•••••• L••

Credit provider · name unique adv

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: $110M••• Locked
Discretionary RAUM: $110M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• B••••••• D••••	President	A	yes	12/2021	Feb 14, 2022	May 24, 2022
B•••••• B••••••• D••••	Trustee	F	yes	12/2021	Feb 14, 2022	May 24, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• M••••••••• L••	n/a	Asset manager	$276M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Greenwich	Ct	United States	1	no
Bridgehampton	NY	United States	1	no

Relationships

Affiliated with (1)

→ A•• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (6)

← K••••••• J•••••••• G••••••OwnerMEMBER, ownership code E, individual
Feb 14, 2022 to presentfactForm ADV
← T••••••••• L••••••• M•••OwnerMANAGER, CHIEF EXECUTIVE OFFICER, ownership code D, individual
Feb 14, 2022 to presentfactForm ADV
← B•••••• B••••••• D••••OwnerTRUSTEE, ownership code F, individual

Dated events

Occurred
Feb 14, 2022
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50f74600-eb32-ef90-1aaf-8305277623cf
First observed: Feb 14, 2022
Last observed: May 24, 2022 52 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.