DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

T•••• A•••••••• L••

CRD 105963

GREENWICH, CT

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 22
On other graphs: 0
Observed: Dec 15, 2011 to Mar 30, 2026
34 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: $251M••• Locked
Discretionary RAUM: $251M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• M••••• J•••••	CEO, DIRECTOR AND THE MAJORITY SHAREHOLDER OF COMMON STOCK	E	yes	11/1976	Dec 15, 2011	Aug 20, 2024
G••••••••• N•••••• F••••••	Chairman	Na	yes	12/2021	Dec 15, 2011	Aug 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• F••••• L••	n/a	Asset manager	$25B	N	yes	n/a
G•••• A•••• M••••••••• I•••	n/a	Mixed wealth	$12B	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	$251M	$330M	-24.0%	$570M	-23.9%	5	10	0	0

Relationships

Affiliated with (9)

← G•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← G•••••• F••••• L••Registered adviserother investment adviser, common control
factForm ADV
← G•••••• • C•••••• I••••••••• A•••••••• I•••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← G•••• A•••• M••••••••• I•••Registered adviserother investment adviser, common control

Dated events

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

Order

Occurred
30 Mar 2026
Ria majority owner change2 events
T•••• A•••••••• L••: ria majority owner change, 2 events, on 30 Mar 2026
- ••• Locked
- ••• Locked
Occurred
31 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
down $127M
Occurred
20 Aug 2024
Control person left
••• Locked
Form ADV
Occurred
28 Mar 2024
Control person joined
••• Locked
Form ADV
Occurred
30 Mar 2023
Control person left2 events
T•••• A•••••••• L••: control person left, 2 events, on 30 Mar 2023
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 15, 2011
Last observed: Mar 30, 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 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$1.5B	$1.5B	13	10	n/a	n/a	n/a
2014	Mar 27, 2015	$2.1B	$2.1B	13	10	n/a	n/a	n/a
2013	Mar 27, 2014	$2.0B	$2.0B	13	10	n/a	n/a	n/a
2012	Mar 27, 2013	$1.3B	$1.3B	11	9	n/a	n/a	n/a
2011	Mar 29, 2012	$846M	$846M	n/a	n/a	n/a	n/a	n/a