DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

F•••••••• V•••••••• L••

CRD 321107

HOBOKEN, NJ

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Search this name across graphsid dfx:ria:69a5a76e-6328-a18c-ca9e-841e441cc18a

Data as of Jun 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 2
Observed: Apr 18, 2025 to Jun 26, 2026
5 observations

Across DFX

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

Private Equityidentity

F•••••••• V•••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

F•••••••• V•••••••• L••

Capital provider to sponsors · 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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $780M••• Locked
Discretionary RAUM: $704M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 116

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• Y••••• N••	BOARD MEMBER	Na	yes	11/2023	Jun 26, 2026	Jun 26, 2026
L••••••• A•••• N••	CHIEF EXECUTIVE OFFICER AND BOARD MEMBER	Na	yes	10/2014	Jun 26, 2026	Jun 26, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 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	$780M	$0	n/a	n/a	n/a	116	118	7	8

Relationships

Controls (7)

← Z•••••••• Z•••••••• N••OwnerBOARD MEMBER, ownership code NA, individual
Jun 26, 2026 to presentfactForm ADV
← L••••••• A•••• N••OwnerCHIEF EXECUTIVE OFFICER AND BOARD MEMBER, ownership code NA, individual
Jun 26, 2026 to presentfactForm ADV
← P••••••••• I••••••••• L•••OwnerMANAGING MEMBER, ownership code E, foreign entity
Jun 26, 2026 to presentfactForm ADV
← R••••• J•••••• J••••OwnerBOARD MEMBER, ownership code NA, individual
Jun 26, 2026 to presentfact

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$553M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69a5a76e-6328-a18c-ca9e-841e441cc18a
First observed: Apr 18, 2025
Last observed: Jun 26, 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.