DFX Intelligence

A•• I••••••••• P•••••••• 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 adviserIndependent wealth managerSEC registeredRAUM 1b 10b

A•• I••••••••• P•••••••• L••

CRD 5845

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 Apr 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 10
On other graphs: 1
Observed: Mar 9, 2012 to Apr 27, 2026
50 observations

Across DFX

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

Venture Capitalidentity

A•• I••••••••• P•••••••• L••

Venture manager · same SEC CIK, same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $2.7B••• Locked
Discretionary RAUM: $2.5B
Private client RAUM: $2.0Bderived••• Locked
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $541Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• R••••• B••••	n/a	NEW YORK, NY	4	17	n/a	no
A••••• J••• S•••••••••	n/a	NEW YORK, NY	4	16

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• C•••••• F••• L•	Hedge Fund	$13.1M	Apr 27, 2026	27	Mar 31, 2021	reported	021-252660
3••••••• T••••••••• F••• L••	Venture Capital Fund	$7.0M	Apr 27, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• U• C•••••••••	Owner	E	yes	12/2016	Apr 27, 2026	Apr 27, 2026
B••••• S••••••• R•••••	MANAGING PARTNER AND DIRECTOR	Na	yes	12/2016	Apr 27, 2026	Apr 27, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••• I••••••••• M••••••••• L••••••	n/a	Former SEC adviser	$133M	N	yes	n/a
P•••••• C•••••• G• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$2.7B	$1.8B	52.1%	$1.4B	25.8%	18	17	0	0

Relationships

Affiliated with (6)

→ A•••••• I••••••••• M••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
← S••••••• C•••••• A••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← P• M••••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← A•••••• W•••••• L••Registered adviser

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
30 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$927M
Occurred
19 Jan 2024
Control person joined
••• Locked
Form ADV
Occurred
19 Jan 2024
Control person left
••• Locked
Form ADV
Occurred
29 Mar 2023
Control person left
••• Locked
Form ADV
Occurred
18 Jan 2017
Succession filed (Item 4)
••• Locked
Form ADV

Show 5 bookkeeping events

Occurred
Apr 27, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 9, 2012
Last observed: Apr 27, 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.

All 13 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• I••••••••• M••••••••• ••••• C•••••••••	Owner	E	yes	02/2010	Mar 29, 2024	Apr 19, 2024
N••••• M••••• S••••••	Owner	E	yes	06/2010	Feb 20, 2015	Apr 19, 2024
S••••••••• G••••	Director	Na	yes	12/2016	Mar 31, 2015	Apr 19, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$747M	$696M	16	7	n/a	n/a	n/a
2014	Mar 31, 2015	$943M	$820M	16	10	n/a	n/a	n/a
2013	Mar 25, 2014	$1.2B	$1.2B	20	9	n/a	n/a	n/a
2012	Mar 28, 2013	$1.1B	$1.0B	22	9	n/a	n/a	n/a
2011	Mar 29, 2012	$1.2B	$1.2B	n/a	n/a	n/a	n/a	n/a