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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM over $100B

C••••••••• I••••••••• L••

CRD 137028

NEW YORK, NY

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Search this name across graphsid dfx:ria:6c760fd9-6964-50ce-dbc2-141a9b115530

Data as of Aug 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 232
Dated events: 31
On other graphs: 0
Observed: Dec 15, 2011 to Aug 28, 2026
59 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: mixed wealth managerderivedprivate_client_share=0.26 fund_share=0.69 institutional_share=0.03 related_bd=true related_bank=true bd_reps=68.0
Regulatory AUM: $185B••• Locked
Discretionary RAUM: $142B
Private client RAUM: $49Bderived••• Locked
Private client share: 26%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 42
RAUM per advisor: $4.4Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••••• C••••••	n/a	NEW YORK, NY	20	25	1	yes
S•• P••••• M•••••••	n/a	NEW YORK, NY	20	24

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•• • I••••••••• G•••••	Other Private Fund	$49.5M	Aug 28, 2026	7	Jun 26, 2019	reported	n/a
C••••••••• G•••• T••••	Other Private Fund	$31.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• J••••• B•••••	GENERAL COUNSEL	Na	yes	01/2023	Aug 28, 2026	Aug 28, 2026
E••••• B••••• M••••••	Director	Na	yes	01/2026	Aug 28, 2026	Aug 28, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• A•••••••• I•••	n/a	Asset manager	$509B	N	yes	n/a
F••••••• T•••••••• F••• A••••••• L••	n/a	Asset manager	$167B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sydney	n/a	Australia	11	no
Baltimore	Md	United States	9	no
Calgary	n/a	Canada	9	no
FORT LAUDERDALE	FL	United States	4	no
SAN MATEO	CA

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
1	0	1	0.0%	1	0	0	4	3

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	$185B	$181B	2.2%	$138B	10.1%	210	214	8	6

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••• I•••••••••	2	Oct 12, 2020	May 26, 2021	NEW YORK, NY	Team lift out	RIA to RIA	5.9%
N••••• A•••• M••••••••• L••	2	Oct 7, 2020	Dec 2, 2020

Relationships

showing 80 of 232

Registered with (42)

← M•••••• ALAN KAGANAdvisorregistration: current employment
Sep 10, 2026 to presentfactForm ADV
← DANIEL KENTON PENROSEAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← SANDRA M•••• PALMERAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← ANN BANDS D••••

Dated events

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

Occurred
Dec 3, 2024
Advisor changed firm
Bobby Bahadar Singh Takhar left C••••••••• I••••••••• L•• for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-02-27)
Form ADVobserved 7 days ago
Occurred
Apr 8, 2024
Control person joined
Lorraine Nicole Tarallo (Director) appeared on Schedule A of C••••••••• I••••••••• L••
Form ADVobserved 7 days ago
Occurred
Apr 8, 2024
Control person left
Karen Cynthia List (Chief Financial Officer) no longer on Schedule A of C••••••••• I••••••••• L•• (listed 2023-12-15, absent 2024-04-08)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c760fd9-6964-50ce-dbc2-141a9b115530
First observed: Dec 15, 2011
Last observed: Aug 28, 2026 25 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.