DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

A••••• I••••• L••

CRD 313255

NEW YORK, NY

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Search this name across graphsid dfx:ria:734d7e39-6e0a-fed4-5d52-1c81d87732c9

Data as of Aug 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 9
On other graphs: 0
Observed: Apr 1, 2021 to Aug 6, 2026
26 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: other adviserderivedprivate_client_share=0.07 fund_share=0.0 institutional_share=0.64 related_bd=true related_bank=false bd_reps=8.0
Regulatory AUM: $320M••• Locked
Discretionary RAUM: $320M
Private client RAUM: $23.8Mderived••• Locked
Private client share: 7%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $160Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L• L••	Chartered Financial Analyst	Vienna, VA \| NEW YORK, NY	1	10	n/a	no
A•••• A•••••	Chartered Financial Analyst	NEW YORK, NY \| Northridge, CA	0	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• G•••• L••	Member	D	yes	02/2021	Apr 1, 2021	Sep 24, 2024
A••••••••• I•••	SOLE MANAGER	E	yes	02/2021	Apr 1, 2021	Sep 24, 2024
A••••••••• I•••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• B•••••••• L••	n/a	n/a	n/a	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 27, 2026

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	$320M	$463M	-31.0%	$419M	-8.6%	21	18	0	0

Relationships

Registered with (2)

← A•••• A•••••Advisorregistration: current employment
Aug 12, 2026 to presentfactForm ADV
← L• L••Advisorregistration: current employment
Oct 11, 2024 to presentfactForm ADV

Controls (4)

← M••••••••• C••••••••• A••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 23, 2023 to Sep 24, 2024factForm ADV
← D••••• D••••• N•••••

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-143M
Occurred
Mar 31, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-1.1B
Occurred
Jun 23, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$932M
Occurred
Jun 23, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:734d7e39-6e0a-fed4-5d52-1c81d87732c9
First observed: Apr 1, 2021
Last observed: Aug 6, 2026 48 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.