DFX Intelligence

N••••••• T•••• I••••••••• I•••••••••: 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 over $100B

N••••••• T•••• I••••••••• I•••••••••

CRD 105780

CHICAGO, IL

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:587a6e0e-f2e5-33bd-db56-01e6cb841615

Data as of Jun 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 103
Dated events: 40
On other graphs: 2
Observed: Feb 28, 2012 to Jun 15, 2026
58 observations

Across DFX

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

Private Equityidentity

N••••••• T•••• I••••••••• I•••••••••

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

Private Creditidentity

N••••••• T•••• I••••••••• I•••••••••

Private credit manager · key cik, key crd, 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=0.08 fund_share=0.65 institutional_share=0.18 related_bd=true related_bank=true bd_reps=124.0
Regulatory AUM: $1245B••• Locked
Discretionary RAUM: $1245B
Private client RAUM: $103Bderived••• Locked
Private client share: 8%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 32
RAUM per advisor: $39Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• B•••••• B••••••	n/a	chicago, IL	10	12	n/a	yes
E•••• B••••••• M••••	n/a	East Greenwich, RI \| CHICAGO, IL	10	22

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••••••• F•••• G••••• E••••• F••••••••• I••••••••• M••••••••• U• L••	Hedge Fund	$493M	Jun 15, 2026	236	Mar 27, 2013	reported	021-130912
M••••••••• F•••• G••••• E••••••• M•••••• E••••• F••• • A•••• I••••••••	Other Private Fund	$235M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• S••••••• E••••••	SENIOR VICE PRESIDENT/CHIEF FINANCIAL OFFICER/TREASURER	Na	yes	12/2022	Dec 8, 2022	Oct 1, 2024
G••••• D•••••• E••••••	CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR	Na	yes	04/2023	Apr 5, 2023	Oct 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••• T•••• G••••• I••••••••• L••	n/a	Asset manager	$208B	N	yes	n/a
5• S•••• C•••••• A•••••••• L••	n/a	Asset manager	$16B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	21	yes
Admiralty	n/a	Hong Kong	6	no
Tempe	Az	United States	5	yes
Melbourne	n/a	Australia	4	no
NEW YORK	NY

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
3	3	0	9.4%	1	2	0	13	11

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	$1245B	$1115B	11.7%	$903B	11.3%	662	674	8	7

Relationships

showing 80 of 103

Affiliated with (8)

← N••••••• T•••• S••••••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N••••••• T•••• G••••• I••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ 5• S•••• C•••••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N••••••• T•••• S••••••••• I••

Dated events

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

Occurred
Jul 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 15, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:587a6e0e-f2e5-33bd-db56-01e6cb841615
First observed: Feb 28, 2012
Last observed: Jun 15, 2026 3 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.