DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

F••••••••• L••

CRD 298234

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Search this name across graphsid dfx:ria:5d5640c0-2cce-a02b-91ed-a6d3333217db

Data as of Jul 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 6
On other graphs: 0
Observed: Aug 8, 2018 to Jul 15, 2026
40 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: asset managerderivedprivate_client_share=0.04 fund_share=0.96 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $207M••• Locked
Discretionary RAUM: $207M
Private client RAUM: $7.3Mderived••• Locked
Private client share: 4%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $103Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••• M•••••• J••••••	n/a	NEW YORK, NY \| Ventura, CA	1	17	1	no
N••• K•••••••	n/a	NEW YORK, NY \| River Edge, NJ	0	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• R•••••• J••	CHIEF TECHNOLOGY OFFICER	A	yes	12/2017	Nov 16, 2021	Mar 20, 2024
I•••• I•••	OWNER/MEMBER	B	yes	07/2018	Aug 8, 2018	Mar 20, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 9, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

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	$207M	$95.7M	115.8%	$164M	7.9%	7	7	1	0

Relationships

Registered with (3)

← N••• K•••••••Advisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← T••• M•••••• J••••••Advisorregistration: current employment
Mar 12, 2025 to presentfactForm ADV
← J•••• F•••••• V••••••••Advisorregistration: previous registration
Jun 8, 2022 to Nov 29, 2022factForm ADV

Controls (7)

Dated events

Occurred
Nov 29, 2022
Advisor firm c•••ge
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 16, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 16, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 16, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d5640c0-2cce-a02b-91ed-a6d3333217db
First observed: Aug 8, 2018
Last observed: Jul 15, 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.