DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

S••••• P•••• S•••••••• C••••• F••• M••••••••• L••

CRD 317225

GREENWICH, CT

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Search this name across graphs

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 5
On other graphs: 0
Observed: Oct 7, 2021 to Mar 31, 2026
10 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 managerderived••• Locked
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 357
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••• E•••••• A•	CHIEF EXECUTIVE OFFICER, PARTNER	C	yes	12/2001	Oct 7, 2021	Mar 29, 2024
M•••• E•••••• A•••••	C•••• E•••••••• O••••••• P••••••• S••••• P•••• C••••••• L•••	Na	yes	12/2001	Oct 7, 2021	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• P•••• C••••••• L•••	n/a	Asset manager	$46B	Y	yes	n/a
S••••• P•••• C•••••• G•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	7	no
SAN FRANCISCO	CA	United States	3	no
LOS ANGELES	CA	United States	2	no
PALO ALTO	CA	United States	1	no
Dorado	Pr	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$1.3B	$1.0B	23.8%	$1.0B	8.0%	357	307	9	8

Relationships

Affiliated with (1)

→ S••••• P•••• C••••••• L•••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (4)

← S••••• P•••• C••••••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 7, 2021 to Mar 29, 2024factForm ADV
← M•••• E•••••• A•OwnerCHIEF EXECUTIVE OFFICER, PARTNER, ownership code C, individual
Oct 7, 2021 to Mar 29, 2024factForm ADV
← O••••• R•••••• J••••OwnerCHAIRMAN, PARTNER, S••••• P•••• C••••••• L•••, ownership code NA, individual

Dated events

Order

Occurred
31 Mar 2026
Ria office opened3 events
S••••• P•••• S•••••••• C••••• F••• M••••••••• L••: ria office opened, 3 events, on 31 Mar 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
31 Mar 2026
Ria office closed
••• Locked
Form ADV
Occurred
7 Oct 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 7, 2021
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.

All 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• S•••••• J••••••	C•••• F•••••••• O•••••• • M••••••••• C••••••• S••••• P•••• C••••••• L•••	Na	no	01/2020	Oct 7, 2021	Mar 29, 2024
K••••••••• J••••• S•••••	C•••• C••••••••• O••••••• S••••• P•••• C••••••• L•••	Na	no	11/2021	Jan 10, 2022	Mar 29, 2024
R•••••••• D••••• A••••••	P••••••• S••••• P•••• C••••••• L•••	Na	no	03/2019	Oct 7, 2021	Mar 29, 2024
S•••••• A•••••• O•••••	C•••• O•••••••• O••••••• S••••• P•••• C••••••• L•••	Na	no	02/2018	Oct 7, 2021	Mar 29, 2024
T••••• E••• R••••	H••• O• I••••••• R•••••••• A•• B••••••• D••••••••• P••••••• S••••• P•••• C••••••• L•••	Na	no	08/2003	Oct 7, 2021	Mar 29, 2024
W•••••• S•••••• E••••••	G•••••• C••••••• S••••• P•••• C••••••• L•••	Na	no	12/2021	Oct 7, 2021	Mar 29, 2024

All 22 rows

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