DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C•••• • C•••••• F•••••••• M••••••••• L••

CRD 133171

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:63a12a98-3362-edcb-f561-da351353210b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 62
Dated events: 31
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2026
24 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=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=16.0
Regulatory AUM: $237M••• Locked
Discretionary RAUM: $105M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 29

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• P•••••••• F•••••• V••• L••	Securitized Asset Fund	$330M	Mar 31, 2021	0	Mar 30, 2012	dropped	n/a
A••••• P•••••••• F•••••• I•• L••	Securitized Asset Fund	$187M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• • C••••••• I•••	Member	D	yes	12/2009	Mar 29, 2019	Mar 29, 2024
C•••• • C••••••• L•• ••••• C•••• B•••••••• L•••	Member	E	yes	04/2005	Mar 29, 2019	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• G••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•••• • C•••••• F•••••••• ••••••• S•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$237M	$1.2B	-79.8%	$1.3B	-43.3%	29	29	0	0

Relationships

Advises (51)

→ D•••••• E••••• C•• I•• P••Private fundSecuritized Asset Fund, IA
Mar 31, 2021 to presentfactForm ADV
→ D•••••• E••••• C•• I• P••Private fundSecuritized Asset Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ S•• 2•••• L•Private fundLiquidity Fund, IA
Mar 31, 2026 to presentfactForm ADV
→ V••••• S•••••• O••••••••• F••• L•• • S••••• 2•

Dated events

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

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-940M
Occurred
Mar 31, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-798M
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63a12a98-3362-edcb-f561-da351353210b
First observed: Mar 30, 2012
Last observed: Mar 31, 2026 5 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.