DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

B•••••••• I••••••••• M••••••••• L••

CRD 108928

PRINCETON, NJ

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:6bfb78c1-1d5d-206d-904b-c9b9610630d3

Data as of Jul 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1,214
Dated events: 40
On other graphs: 6
Observed: Mar 30, 2012 to Jul 24, 2026
103 observations

Across DFX

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

Venture Capitalidentity

B•••••••• I••••••••• M••••••••• L••

Venture manager · cited, key cik, key crd, key sfn adviser, shared crd

Independent Sponsorsidentity

B•••••••• I••••••••• M••••••••• L••

Capital provider to sponsors · cited, key cik, key crd, key sfn adviser, shared crd

Private Equityidentity

B•••••••• I••••••••• M••••••••• L••

Private equity manager · cited, key cik, key crd, key sfn adviser, shared crd

Allocators

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.09 fund_share=0.74 institutional_share=0.05 related_bd=true related_bank=true bd_reps=762.0
Regulatory AUM: $677B••• Locked
Discretionary RAUM: $497B
Private client RAUM: $58Bderived••• Locked
Private client share: 9%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 670
RAUM per advisor: $1.0Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• W•••••	n/a	PRINCETON, NJ	19	36	1	yes
R••••• S•••• S••••••	n/a	PRINCETON, NJ	19	38

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•••• M••••• S••••• O• S• L•••••••• S•••••• L••	Liquidity Fund	$2.1B	Dec 23, 2024	67	Mar 30, 2012	dropped	021-135255
B•••••••• A••••••••• F•••• S•••••• S••••••••• • B•••••••• P•••••• E••••• O••••••••• E••••	Private Equity Fund	$1.3B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• I•••	SOLE SHAREHOLDER	E	yes	09/2006	Mar 30, 2012	Dec 23, 2024
F•••• L•••••••• D••••••	CHIEF EXECUTIVE OFFICER	Na	yes	09/2006	Mar 30, 2012	Dec 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••••• F••• A•••••••	n/a	ASSET_M••••••	$4282B	N	yes	n/a
B•••••••• F•••••••• M••••••••• I••	n/a	Other adviser	$1595B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	83	yes
Boston	Ma	United States	24	yes
Sausalito	CA	United States	18	no
Atlanta	Ga	United States	7	yes
Philadelphia	Pa	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
32	26	6	3.9%	9	7	0	92	109

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	$677B	$508B	33.2%	$403B	18.9%	1,589	1,457	13	13

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••••• A•••••••• L••	8	Oct 16, 2025	Mar 11, 2026	PRINCETON, NJ	Team lift out	Other	1.3%
U•• F•••••••• S••••••• I•••	2	Feb 23, 2016	Jul 15, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•••••••• F••• A•••••••	3	Apr 11, 2018	Feb 9, 2018	SAN FRANCISCO, CA	C••••••_CHANGE	Other	13.6%
B•••••••• F••• A•••••••	2	Feb 12, 2018	Feb 12, 2018

Relationships

showing 80 of 1,214

Registered with (18)

← I••••• M•••••Advisorregistration: current employment
Sep 21, 2026 to presentfactForm ADV
← K••••• J••••• M•••••••Advisorregistration: current employment
Sep 21, 2026 to presentfactForm ADV
← J••• Z••••••Advisorregistration: current employment
Sep 17, 2026 to presentfactForm ADV
← M•••••• M•••••

Dated events

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

Occurred
Sep 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved yesterday
Occurred
Sep 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved today
Occurred
Aug 4, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6bfb78c1-1d5d-206d-904b-c9b9610630d3
First observed: Mar 30, 2012
Last observed: Jul 24, 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.