DFX Intelligence

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

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

C•••••• I••••••••• M•••••••••

CRD 111973

NEW YORK, NY

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Search this name across graphsid dfx:ria:5971b786-173b-6962-3b58-2c982e7e9099

Data as of Apr 14, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to Apr 14, 2021
19 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: $129M••• Locked
Discretionary RAUM: $129M
Private client RAUM: $15.5Mderived••• Locked
Private client share: 12%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• I••••••••• H•••••••• L•••	LIMITED PARTNER	E	yes	11/1988	Mar 16, 2012	Apr 14, 2021
C•••••• I••••••••• I••••••••• G••••• L•••	PARTNER AND MAJORITY OWNER	E	yes	05/2000	Mar 16, 2012	Apr 14, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• I••••••••• I••••••••• L•••	n/a	Former SEC adviser	$46.6M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$129M	$147M	-11.9%	$197M	-13.1%	3	3	0	0

Relationships

Affiliated with (2)

→ C•••••• I••••••••• I••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
← TRAIN, BABCOCK ADVISORS LLCRegistered adviserother investment adviser
factForm ADV

Controls (6)

← H•••••••• P••••• J•••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV
← Y•••••• M••••••• S••••OwnerPRESIDENT, ownership code E, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5971b786-173b-6962-3b58-2c982e7e9099
First observed: Mar 16, 2012
Last observed: Apr 14, 2021 66 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.