DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

E••• A•••• M••••••••• L••

CRD 305706

NEW YORK, NY

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Search this name across graphsid dfx:ria:6445b88c-5fdc-6a49-2ca4-25ab83d950f7

Data as of Aug 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 14
On other graphs: 2
Observed: Oct 1, 2020 to Aug 13, 2026
30 observations

Across DFX

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

Independent Sponsorsidentity

E••• A•••• M••••••••• L••

Capital provider to sponsors · shared crd

Real Estate Fundsidentity

E••• A•••• M••••••••• L••

Real estate fund manager · shared crd

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: $682,181••• Locked
Discretionary RAUM: $682,181
Private client RAUM: $134,757derived••• Locked
Private client share: 20%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••• C••••••••• S••• H••••••• F••• L•••	Hedge Fund	$182M	Aug 22, 2024	1	Feb 24, 2023	reported	n/a
E••• C•• O••••••••• F••• I• L•	Real Estate Fund	$40.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• L••	Shareholder	D	yes	11/2018	Oct 1, 2020	Aug 22, 2024
D•••••• B••••• W••••••	Shareholder	D	yes	07/2018	Oct 1, 2020	Aug 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• L•••• L••	n/a	Former SEC adviser	$101M	N	yes	n/a
E••• C••••••••• S••• H••••••• F••• G• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 22, 2026

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	$682,181	$99.5M	-99.3%	$886M	-90.8%	25	27	0	0

Relationships

Affiliated with (2)

→ P••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
← P••••••• L•••Registered adviserother investment adviser, common control
factForm ADV

Advises (4)

→ E••• S••• W•••••• O••••••••• I• L••Private fundHedge Fund, IA
Feb 24, 2023 to presentfactForm ADV
→ E••• C••••••••• S••• H••••••• F••• L•••

Dated events

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

Occurred
Aug 15, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
May 9, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 29, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-681M
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6445b88c-5fdc-6a49-2ca4-25ab83d950f7
First observed: Oct 1, 2020
Last observed: Aug 13, 2026 41 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.