DFX Intelligence

T• R••• P•••• A••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM over $100B

T• R••• P•••• A••••••••• I•••

CRD 105496

BALTIMORE, MD

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Search this name across graphs

Data as of Jul 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 359
Dated events: 80
On other graphs: 3
Observed: Mar 29, 2012 to Jul 6, 2026
55 observations

Across DFX

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

Venture Capitalidentity

T• R••• P•••• A••••••••• I•••

Venture manager · key_cik, key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

T• R••• P•••• A••••••••• I•••

Capital provider to sponsors · key_cik, key_crd, key_sfn_adviser, shared_crd

Private Equityidentity

T• R••• P•••• A••••••••• I•••

Private equity 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=0.0 fund_share=0.9 institutional_share=0.08 related_bd=true related_bank=true bd_reps=253.0
Regulatory AUM: $2196B••• Locked
Discretionary RAUM: $2196B
Private client RAUM: $5.1Bderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 222
RAUM per advisor: $9.9Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• F•••••• S•••••	n/a	Baltimore, MD	25	26	n/a	yes
P••••• J•••••• B•••••	n/a	BALTIMORE, MD	22	26

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••	Other Private Fund	$2.6B	Jul 6, 2026	169	Mar 27, 2013	reported	021-300792
M•••• •••••••• M•••••	Other Private Fund	$729M	Jan 3, 2017

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• J•••••••• B•••••	Director	Na	yes	01/2022	Jan 27, 2022	Nov 20, 2024
F•••••••• S••••••• L•	CHIEF COMPLIANCE OFFICER	Na	yes	10/2024	Oct 24, 2024	Nov 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T• R••• P•••• I••••••••• L••	n/a	Asset manager	$277B	Y	yes	n/a
T••••• P•••• I••••••••• M••••••••• I•••	n/a	Asset manager	$204B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Washington	Dc	United States	20	yes
SAN FRANCISCO	CA	United States	17	yes
NEW YORK	NY	United States	6	yes
COLORADO SPRINGS	Co	United States	3	yes
OWINGS MILLS	Md	United States

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
16	15	1	6.8%	6	5	0	61	44

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	$2196B	$1934B	13.6%	$1507B	13.4%	3,760	3,947	5	7

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••• P••••••• A•• W•••••••• A•••••••	2	Mar 31, 2022	May 5, 2022	COLORADO SPRINGS, CO	Team lift out	Other	1.3%
T• R••• P•••• A••••••• S•••••••• I•••	2	Apr 15, 2019

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T• R••• P•••• A••••••• S•••••••• I•••	2	Feb 14, 2019	Feb 14, 2019	COLORADO SPRINGS, CO	Team lift out	Other	0.6%
T• R••• P•••• A••••••• S•••••••• I•••	4	Feb 14, 2019

Relationships

showing 80 of 359

Registered with (51)

← C••••••••• M••••••Advisorregistration: current employment
Sep 21, 2026 to presentfactForm ADV
← S••••• K••••Advisorregistration: current employment
Sep 21, 2026 to presentfactForm ADV
← M••••••• L••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← J•••• N••••

Dated events

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

Order

Occurred
8 Sep 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
6 Jul 2026
Private fund first reported2 events
Private fund first reported: 2 on 6 Jul 2026
$11.5M to $106M
- ••• Locked$106M
- ••• Locked$11.5M
Occurred
27 Aug 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
6 Jul 2026
Private fund no longer reported5 events
Private fund no longer reported: 5 on 6 Jul 2026
$48.9M to $300M
- ••• Locked$300M
- ••• Locked$48.9M
- ••• Locked$48.9M
Occurred
7 Aug 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Jul 6, 2026 2 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

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• J••• F•••••••	n/a	Wayne, PA	9	19	1	yes
M•••••• W•••••• B••••	n/a	Wilmette, IL	8	23	4	yes
C•••• J•••••• S•• T•••••	n/a	Charlotte, NC	8	28	n/a	yes
D•••• G••••• C•••••••••	Certified Financial Planner	Colorado Springs, CO	8	18	2	yes
S••• M•••••• L••••	n/a	The Woodlands, TX	8	22	3	yes
C•••••••• J•••• N•••••	Certified Financial Planner	Whitefish, MT \| Portland, OR	7	22	3	yes
H••••• M•••••	n/a	Fair Haven, NJ	7	21	2	yes
J•••• B•••••• B••••	n/a	Baltimore, MD	7	21	4	yes
M•••••• J•••••	n/a	S•••tsdale, AZ	7	11	1	yes
N••• W•••• D•••••	n/a	S•••tsdale, AZ	7	16	2	yes
H•••• C•••••••• K••••	n/a	San Francisco, CA	7	29	3	yes
A••• I•• C••••	Chartered Financial Analyst	BALTIMORE, MD	7	25	5	yes
A••••••• F••••••••• C••••••	n/a	BALTIMORE, MD	7	21	1	yes
T••••• F• C••••••••	Chartered Financial Analyst	BALTIMORE, MD	7	20	2	yes
S••• M•••••• C••••••	n/a	COLORADO SPRINGS, CO	7	18	1	yes

All 23 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•••• H••••• C•• 1••••• L•••	Securitized Asset Fund	$5.4M	Jan 9, 2013	0	Mar 29, 2012	dropped	n/a
5•••	Private Equity Fund	$1.4M	Jul 6, 2026	13	Mar 27, 2014	reported	021-150568
M••••	Private Equity Fund	$1.3M	Jul 6, 2026	13	Mar 31, 2015	reported	021-215118
M••••	Other Private Fund	$1.0M	Jul 6, 2026	183	Mar 29, 2018	reported	n/a
M••••	Other Private Fund	$262,607	Jan 2, 2024	61	Mar 27, 2013	reported	n/a
M••••	Other Private Fund	$134,382	May 13, 2022	61	Mar 30, 2016	dropped	n/a
T• R••• P•••• R••••••• F••• I•• L•••	Private Equity Fund	$118,488	Jan 9, 2013	25	Mar 29, 2012	dropped	n/a
M••••••	Private Equity Fund	$0	Jul 6, 2026	20	Mar 28, 2019	reported	021-1718504
5•••	Private Equity Fund	$0	Feb 1, 2019	13	Mar 27, 2014	dropped	021-82404
T• R••• P•••• T••• A••••••••• O••••••••• F••• I• L••	Hedge Fund	$0	Oct 30, 2020	0	Jun 22, 2020	dropped	n/a
T• R••• P•••• M•••• A•• A••••••• R••••• S••••••••• O••••••• F••• L••	Hedge Fund	$0	Nov 20, 2024	0	Nov 24, 2021	dropped	021-386627
M••••	Other Private Fund	$0	May 13, 2022	61	Mar 31, 2017	dropped	n/a
5•••	Private Equity Fund	$0	Nov 20, 2024	13	Mar 27, 2014	dropped	021-111641

All 40 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•• P•••••• C••••• A••••••• I•• L•••	n/a	Asset manager	$805M	Y	yes	n/a
O•• H••• A••••••• ••••••••• P•• L••	n/a	n/a	n/a	Y	yes	n/a
O•• H••• A••••••• ••••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• ••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• A• C••••••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• A• C••••••••• C••••• F••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• A• D••••••••• C••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• A• D••••••••• C••••• I• G•••••• L•••	n/a	n/a	n/a	Y	yes	n/a
O•• A•••• E••••••• C••••• F••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• A••••••• C••••••••• C••••• F••• I• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• A••• C••••••••• C••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• B••• S•• G••••• I•• L••	n/a	n/a	n/a	Y	yes	n/a
O•• B••• S•• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• B•••• B••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C• C••••••••• C••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C••••• S••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C•• E••••••• E••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C•• E••••••• E••••• I• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C•• S••••••••• F••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C••••• C•••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C••••• O••••••••• C• •• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C••••• O••••••••• G••••• I• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C••••• S•••••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C••••• S•••••••• I• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• C••••• M••••••••• C••••• F••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• D••••••• C••••••••• C••••• F••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• D••••••• C••••••••• C••••• F••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• D••••••••• C••••• S••••••••• •••••••• I•• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• D••••••••• C••••• S••••••••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a
O•• D••••••••• C••••• S••••••••• T•••••• F••• G•••••• L••	n/a	n/a	n/a	Y	yes	n/a

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$756B	$755B	2,571	350	n/a	9	$1.8B
2014	Mar 31, 2015	$743B	$742B	2,435	327	n/a	10	$1.8B
2013	Mar 27, 2014	$689B	$688B	2,216	305	n/a	9	$1.8B
2012	Mar 27, 2013	$573B	$573B	2,070	303	n/a	6	$1.7B
2011	Mar 29, 2012	$480B	$474B	n/a	n/a	n/a	3	$16.6M