DFX Intelligence

N•••••••• B••••• S•••••••• P••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

N•••••••• B••••• S•••••••• P••• L••••••

CRD 167947

S••••••••

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Search this name across graphsid dfx:ria:73b1134a-9647-65ec-f668-939b3d78b03f

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 10
On other graphs: 0
Observed: Dec 17, 2013 to Mar 30, 2026
21 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=0.73 institutional_share=0.25 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $29B••• Locked
Discretionary RAUM: $29B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•• M•••••••• L• C••••	Director	Na	yes	08/2024	Sep 2, 2024	Oct 2, 2024
H••• A••••• J••••	Director	Na	yes	11/2023	Nov 1, 2023	Oct 2, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••••• B••••• I••••••••• A••••••• L••	n/a	Other adviser	$399B	N	yes	n/a
N• A••••••••• A••••••• L••	n/a	Other adviser	$160B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$29B	$26B	12.1%	$27B	3.0%	32	27	0	0

Relationships

Affiliated with (24)

← N•••••••• B••••• E••••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV
← N•••••••• B••••• C••••• U••Registered adviserother investment adviser, bank, common control
factForm ADV
← N•••••••• B••••• L••• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← N•••••••• B••••• L••• A••••••• I• L••Registered adviser

Dated events

Occurred
Sep 2, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 2, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 1, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 1, 2023
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73b1134a-9647-65ec-f668-939b3d78b03f
First observed: Dec 17, 2013
Last observed: Mar 30, 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.