DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

A•• S••• M••••••••• L••

CRD 283737

NEW YORK, NY

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Search this name across graphsid dfx:ria:70a7729e-432d-7e16-a68a-cd15d17a6592

Data as of Apr 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: May 26, 2021 to Apr 24, 2026
10 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 managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $85.4M••• Locked
Discretionary RAUM: $85.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••••••••• C••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2021	May 26, 2021	Jun 17, 2024
P••••••• K••••• S•••	MANAGING MEMBER	D	yes	01/2022	Jan 6, 2022	Jun 17, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• P••••••• L••	n/a	Asset manager	$1.2B	N	yes	n/a
S••• M••••••••• M••••••••• L••	n/a	Asset manager	$55.9M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 24, 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	$85.4M	$86.7M	-1.5%	$403M	-40.4%	7	6	0	0

Relationships

Affiliated with (4)

← A•• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A•• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S••• M••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••• M••••••••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 29, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-329M
Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-158M
Occurred
Mar 31, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$250M
Occurred
Jan 6, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70a7729e-432d-7e16-a68a-cd15d17a6592
First observed: May 26, 2021
Last observed: Apr 24, 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.