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R•••••• B•••••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

R•••••• B•••••••• A••••••• L••

CRD 153577

NEW YORK, NY

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Search this name across graphsid dfx:ria:5a93c68c-5126-2d4b-080d-29e33eb04df6

Data as of Aug 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 5
On other graphs: 0
Observed: Feb 21, 2012 to Aug 17, 2026
40 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

R•••••• B•••••••• A••••••• L•• reported RAUM $180.8M, down 95% from $3.8B (2026-07-27 to 2026-08-17)

Dated 2026-08-17 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

Advisor Recruiting IntelligenceAug 17, 2026 · seen 7 days ago

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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=11.0
Regulatory AUM: $181MItem 5.F on the latest filing (2026-08-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $181M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• R••••••• N••	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER AND MEMBER	D	yes	05/2009	Feb 21, 2012	Sep 10, 2024
E•••••• S•	HOLDING COMPANY	E	yes	06/2014	Aug 4, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 18

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$181M	$5.0B	-96.4%	$5.2B	-67.4%	28	30	0	0

Relationships

Affiliated with (2)

← IM GLOBAL PARTNER FUND MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← LITMAN GREGORY WEALTH MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Owns (2)

← G•••••••• F••••• M••••••OwnerDIRECTOR OF INVESTMENTS AND RISK MANAGEMENT, ownership code NA, individual
Mar 1, 2021 to Sep 10, 2024factForm ADV
← K••••••••• L•••Owner

Dated events

Occurred
Aug 17, 2026
Regulatory AUM changed
R•••••• B•••••••• A••••••• L•• reported RAUM $180.8M, down 95% from $3.8B (2026-07-27 to 2026-08-17)
Form ADVobserved 7 days ago
$-3.6B
Occurred
Feb 28, 2022
Regulatory AUM changed
R•••••• B•••••••• A••••••• L•• reported RAUM $6.1B, up 29% from $4.7B (2021-08-04 to 2022-02-28)
Form ADVobserved 7 days ago
$1.4B
Occurred
Mar 1, 2021
Regulatory AUM changed
R•••••• B•••••••• A••••••• L•• reported RAUM $4.7B, up 27% from $3.7B (2020-06-10 to 2021-03-01)
Form ADVobserved 7 days ago
$996M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a93c68c-5126-2d4b-080d-29e33eb04df6
First observed: Feb 21, 2012
Last observed: Aug 17, 2026 36 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.

Controls (13)

← B••••••••• R••••••• N••OwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER AND MEMBER, ownership code D, individual
Feb 21, 2012 to Sep 10, 2024factForm ADV
← M••••••• J•••• J•••••OwnerPRESIDENT, DIRECTOR OF DISTRIBUTION AND BOARD MEMBER, ownership code NA, individual
Feb 21, 2012 to Sep 10, 2024factForm ADV
← T•••••• B••••••OwnerCHIEF FINANCIAL OFFICER AND BOARD MEMBER, ownership code NA, individual
Mar 28, 2014 to Sep 10, 2024factForm ADV
← M••••• M••••••• H•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 21, 2012 to Sep 10, 2024factForm ADV
← S•••••• D••• J••••OwnerDEPUTY CHIEF INVESTMENT OFFICER & CHAIRMAN OF THE INVESTMENT COMMITTEE, ownership code NA, individual
Feb 28, 2020 to Sep 10, 2024factForm ADV
← G•••••••• P•••••• S••••••OwnerDIRECTOR OF TRADING, ownership code NA, individual
Mar 18, 2016 to Sep 10, 2024factForm ADV
← R•••••• J•••• R••••••OwnerCHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Feb 21, 2012 to Sep 10, 2024factForm ADV
← E•••••• S•OwnerHOLDING COMPANY, ownership code E, foreign entity
Aug 4, 2021 to Sep 10, 2024factForm ADV
← I• S••••• H•••••• 8• L••OwnerMEMBER, ownership code C, foreign entity
Feb 28, 2024 to Sep 10, 2024factForm ADV
← I• S••••• P••••••• H••••••OwnerHOLDING COMPANY, ownership code E, foreign entity
Aug 4, 2021 to Sep 10, 2024factForm ADV
← I• S••••• S••OwnerPARENT, ownership code E, foreign entity
Aug 4, 2021 to Sep 10, 2024factForm ADV
← J• D••••• H•••••• S••OwnerSHAREHOLDER, ownership code C, foreign entity
Feb 28, 2024 to Sep 10, 2024factForm ADV
← L••••••• H•••••• 3•OwnerHOLDING COMPANY, ownership code D, foreign entity
Aug 4, 2021 to Sep 10, 2024factForm ADV

2025	Apr 30, 2026	$3.8B	$3.8B	28	7	0	n/a	n/a
2024	Mar 25, 2025	$5.0B	$5.0B	30	8	0	n/a	n/a
2023	Feb 28, 2024	$5.2B	$5.2B	35	8	0	n/a	n/a
2022	Apr 30, 2023	$5.2B	$5.2B	36	8	0	n/a	n/a
2021	Feb 28, 2022	$6.1B	$6.1B	33	9	0	n/a	n/a
2020	Mar 1, 2021	$4.7B	$4.7B	32	9	0	n/a	n/a
2019	Feb 28, 2020	$3.7B	$3.7B	27	8	0	n/a	n/a
2018	Feb 28, 2019	$3.5B	$3.5B	23	8	0	n/a	n/a
2017	Feb 28, 2018	$3.2B	$3.2B	19	7	0	n/a	n/a
2016	Mar 17, 2017	$1.7B	$1.7B	18	8	n/a	n/a	n/a
2015	Mar 18, 2016	$1.5B	$1.5B	17	8	n/a	n/a	n/a
2014	Mar 18, 2015	$1.6B	$1.6B	18	8	n/a	n/a	n/a
2013	Mar 28, 2014	$1.2B	$1.2B	16	6	n/a	n/a	n/a
2012	Mar 26, 2013	$376M	$376M	10	5	n/a	n/a	n/a
2011	Feb 21, 2012	$371M	$371M	n/a	n/a	n/a	n/a	n/a