DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

S••• F•••• M••••••••• I•••

CRD 111242

BOSTON, MA

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Search this name across graphsid dfx:ria:56f03f7b-f9a9-38e9-9412-779a04fd3159

Data as of Aug 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 55
Dated events: 40
On other graphs: 3
Observed: Mar 30, 2012 to Aug 28, 2026
58 observations

Across DFX

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

Private Equityidentity

S••• F•••• M••••••••• I•••

Private equity manager · key cik, key crd, key lei, key sfn adviser, shared crd

Independent Sponsorsidentity

S••• F•••• M••••••••• I•••

Capital provider to sponsors · key cik, key crd, key lei, key sfn adviser, shared crd

Private Creditidentity

S••• F•••• M••••••••• I•••

Private credit manager · key cik, key crd, key lei, key sfn adviser, shared crd

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=0.99 institutional_share=0.01 related_bd=true related_bank=true bd_reps=5.0
Regulatory AUM: $1421B••• Locked
Discretionary RAUM: $1421B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 241

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W••••••• I• B••• F••• S••••• 2••• A• S••••• T•••• O• M•••• M•••••• G••••• I••••••••• T••••	Hedge Fund	$9.6B	Aug 28, 2026	2	Aug 29, 2023	reported	n/a
W••••••• I• B••• F••• S••••• 2••• A• S••••• T•••• O• M•••• M•••••• G••••• I••••••••• T••••	Hedge Fund

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• A•••••••• K•	Director	Na	yes	09/2022	Mar 31, 2023	Nov 27, 2024
C••••••••• A••• M•	CHIEF OPERATING OFFICER	Na	yes	04/2014	Apr 28, 2014	Nov 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• S••••• G••••• A••••••• L••••••	n/a	Former SEC adviser	$424B	N	yes	n/a
S•••• S••••• G••••• A••••••• E••••• L••••••	n/a	Former SEC adviser	$386B	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	66	no
Scottsdale	Az	United States	0	no

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	$1421B	$1173B	21.1%	$842B	19.1%	241	238	3	2

Relationships

Affiliated with (9)

→ S•••• S••••• G••••• A••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ S•••• S••••• G••••• A••••••• I•••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ S•••• S••••• G••••• A••••••• A••• L••••••Registered adviserother investment adviser, common control
factForm ADV
← S•••• S••••• G••••• A••••••• L••••••Registered adviser

Dated events

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

Occurred
Aug 28, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 28, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 28, 2026
Ria office opened
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:56f03f7b-f9a9-38e9-9412-779a04fd3159
First observed: Mar 30, 2012
Last observed: Aug 28, 2026 26 days 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.