DFX Intelligence

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

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RIA / WealthRegistered adviserInstitutional managerSEC registeredRAUM 1b 10b

A•••••••• C•••••• M•••••••••

A•••••••• C•••••• M••••••••• LLC, CRD 171128

NEW YORK, NY

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Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 12
On other graphs: 1
Observed: Apr 29, 2014 to Sep 22, 2026
38 observations

Across DFX

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

Independent Sponsorsidentity

A•••••••• C•••••• M•••••••••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Facts

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

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.05 institutional_share=0.95 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $8.3B••• Locked
Discretionary RAUM: $8.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $8.3Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• R••••• S•••••	n/a	NEW YORK, NY \| Pinecrest, FL	0	19	4	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• C••••• O••••••••• I• L••	Other Private Fund	$141M	Sep 22, 2026	6	May 14, 2026	reported	n/a
P•••••• I• L••	Other Private Fund	$134M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• C•••••• H••••••• L••	Member	E	yes	03/2014	Apr 29, 2014	Mar 27, 2024
A•••••••• C•••••• P••••••• L••	Owner	E	yes	07/2012	Apr 12, 2023	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
1••• C••••••• L••	n/a	Former SEC adviser	$188M	Y	no	n/a
S•• C••••• A••••••• I• L••	n/a	Asset manager	$50.2M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HIGHLAND PARK	IL	United States	0	no

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
0	0	0	0.0%	0	0	0	0	0

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	$8.3B	$9.3B	-11.2%	$5.7B	13.4%	30	26	0	1

Relationships

Advises (6)

→ P•••••• C••••• O••••••••• I• L••Private fundOther Private Fund, IA
May 14, 2026 to presentfactForm ADV
→ P•••••• C••••• O••••••••• I•• L••Private fundOther Private Fund, IA
May 14, 2026 to presentfactForm ADV
→ S••••••• 2••• L••Private fundOther Private Fund, IA
May 14, 2026 to presentfactForm ADV
→ P•••••• I• L••

Dated events

Order

Occurred
14 May 2026
Private fund first reported3 events
Private fund first reported: 3 on 14 May 2026
$55.9M to $141M
- ••• Locked$141M
- ••• Locked$96.6M
- ••• Locked$55.9M
Occurred
14 May 2026
Ria private fund assets change
••• Locked
Form ADV
$170M
Occurred
14 May 2026
Ria office closed
••• Locked
Form ADV
Occurred
2 Apr 2025
Regulatory AUM changed
••• Locked
Form ADV
$2.8B
Occurred
31 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$1.2B

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 29, 2014
Last observed: Sep 22, 2026 45 h 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 14 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••••• C•••••• M•••••• L••	n/a	n/a	n/a	N	no	n/a
P••••••••• G•••• L••	n/a	n/a	n/a	N	yes	n/a
S••••••• S••••••• L••• I•••••••• C••••••	n/a	n/a	n/a	N	yes	n/a
S••••••• A••••••• R••••••••• C••••••	n/a	n/a	n/a	N	yes	n/a

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$800M	$800M	4	3	n/a	n/a	n/a
2014	Mar 17, 2015	$443M	$443M	3	3	n/a	n/a	n/a