DFX Intelligence

O• P•••••• C••••••• 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

O• P•••••• C••••••• L••

CRD 290619

NEW YORK, NY

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Search this name across graphs

Data as of Oct 17, 2019 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 51
Dated events: 5
On other graphs: 0
Observed: Oct 25, 2017 to Oct 17, 2019
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $182M••• Locked
Discretionary RAUM: $182M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• G•••• M••••••••• L•••••	GENERAL PARTNER	F	yes	07/2011	Oct 25, 2017	Oct 17, 2019
C•••••• H••••••• I• G• I•••	Member	E	yes	11/2011	Oct 25, 2017	Oct 17, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• C•••••• M••••••••• L••	n/a	Asset manager	$941B	N	yes	n/a
I•••••• A•••••••• I•••	n/a	Asset manager	$750B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$133M	$133M	14	5	0	n/a	n/a
2017	Mar 29, 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	$182M	n/a	n/a	n/a	n/a	0	14	0	0

Relationships

Affiliated with (26)

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

Dated events

Order

Occurred
17 Oct 2019
Control person joined2 events
O• P•••••• C••••••• L••: control person joined, 2 events, on 17 Oct 2019
- ••• Locked
- ••• Locked
Occurred
17 Oct 2019
Control person left2 events
O• P•••••• C••••••• L••: control person left, 2 events, on 17 Oct 2019
- ••• Locked
- ••• Locked
Occurred
25 Oct 2017
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 25, 2017
Last observed: Oct 17, 2019 84 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 25 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
I•••••• L•••	SOLE SHAREHOLDER	E	yes	01/2002	Jun 24, 2019	Oct 17, 2019
J••••••• M•••• D••••	Director	Na	yes	10/2017	Oct 25, 2017	Oct 17, 2019
M•••••• K••••••• K••••	Director	Na	yes	10/2017	Oct 25, 2017	Oct 17, 2019
O•• G••••• A•••• M••••••••• I•••	SOLE SHAREHOLDER	E	yes	05/2019	Jun 24, 2019	Oct 17, 2019
O•• G••••• I••••••••• I•••	Member	D	yes	10/2017	Oct 25, 2017	Oct 17, 2019
O••••••••• A••••••••• C••• •••••	Shareholder	E	yes	10/1990	Jun 24, 2019	Oct 17, 2019
O••••••••• I••	Shareholder	E	yes	12/2001	Oct 25, 2017	Oct 17, 2019
P•••••• A•••••	CHIEF RISK OFFICER	Na	yes	02/2018	Mar 29, 2018	Oct 17, 2019
P••••••• R••••••• L••	CHIEF FINANCIAL OFFICER	Na	yes	08/2019	Oct 17, 2019	Oct 17, 2019
P••••••• J•••••	Director	Na	yes	10/2017	Oct 25, 2017	Oct 17, 2019
T• G•••• L••	Member	E	yes	12/2000	Oct 25, 2017	Oct 17, 2019
T•• C•••••• G••••	Member	C	yes	10/2017	Oct 25, 2017	Oct 17, 2019
T•• C•••••• G••••• L•••	Shareholder	E	yes	11/2011	Oct 25, 2017	Oct 17, 2019
V••••• R••••	CEO AND COO	Na	yes	08/2019	Mar 29, 2018	Oct 17, 2019
V••••• S••••••• C•••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2017	Oct 25, 2017	Oct 17, 2019

All 38 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• C••••• L•••	n/a	Former SEC adviser	$20B	N	yes	n/a
I•••••• R••• E••••• M••••••••• S•• R•••	n/a	Former SEC adviser	$13B	N	yes	n/a
I•••••• A•••• M••••••••• •••••• P••• L•••	n/a	Former SEC adviser	$10B	N	yes	n/a
I•••••• I••••••••• A••••••• L••	n/a	Asset manager	$4.4B	N	yes	n/a
I•••••• G••••• R••• E••••• A••• P••••••• I•••	n/a	Former SEC adviser	$3.1B	N	yes	n/a
O•• P•••••• I••••••••• I••	n/a	Former SEC adviser	$2.0B	N	yes	n/a
I•••••• P•••••• C••••••• I•••	n/a	Asset manager	$860M	N	yes	n/a
J••••••• I•••	n/a	Asset manager	$824M	N	yes	n/a
H••••••••• A•••• M••••••••• C•••••••••	n/a	Former SEC adviser	$386M	N	yes	n/a
W• R••• • C•• L••	n/a	Asset manager	$225M	N	yes	n/a
O••••••••• I••	n/a	Asset manager	$827,684	Y	no	n/a
C•••••• C•• M••••••••• L•••••	n/a	n/a	n/a	N	yes	n/a
F••• R••••• I••••••••• M••••••••• C••• L•••	n/a	n/a	n/a	N	yes	n/a
G•••• W••• W• R••• ••• I••••••••• M••••••••• L•••	n/a	n/a	n/a	N	yes	n/a
I•••••• C•••••• M••••••• I•••	n/a	n/a	n/a	N	yes	n/a
I•••••• D••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
I•••••• E••••••• R• L•••	n/a	n/a	n/a	N	yes	n/a
I•••••• F••• M••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•••••• I•••••••• A•••••• I•••	n/a	n/a	n/a	N	yes	n/a
I•••••• M••••••••• S•••	n/a	n/a	n/a	N	yes	n/a
I•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•••••• R• F••• L•••	n/a	n/a	n/a	N	yes	n/a
I•••••• S••••••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•••••• T•••• C••••••	n/a	n/a	n/a	N	yes	n/a
I•••••• U• S••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•• ••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
O••••••••• D••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
T•• C•••••• M•••••• L•••••	n/a	n/a	n/a	N	no	n/a