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N•• D•••• R•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

N•• D•••• R•••••••• I•••

CRD 112260

SARASOTA, FL

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Search this name across graphsid dfx:ria:742c85b4-7acd-16ac-df84-a0f14d13b642

Data as of Dec 18, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 42
Dated events: 13
On other graphs: 1
Observed: Dec 21, 2011 to Dec 18, 2025
44 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Allocatorsidentity

N•• D•••• R•••••••• I•••

Investment consultant · shared crd

Private Equityowner

E••••• F••• I•• •• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Private Equityowner

E••••• F••• I•• C••••••••• •• L••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

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=0.88 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.2MItem 5.F on the latest filing (2025-12-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 17
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• T••••• S••••••	Chartered Financial Analyst	SARASOTA, FL	14	21	n/a	no
M••• T•••• B••••	Chartered Financial Analyst	SARASOTA, FL	14	26

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• B•••• L••••••	Shareholder	E	yes	11/2022	Dec 21, 2022	Dec 18, 2024
B•••• N•••• C•••••••	BOARD MEMBER, CHIEF LEGAL OFFICER, SECRETARY	Na	yes	05/2024	Dec 18, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	7	no
NEW YORK	NY	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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%	0	0	0	4	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$2.2M	$202,484	997.0%	$219,185	116.4%	68	71	2	3

Relationships

Registered with (25)

← E••••• M•••••• C•••••••Advisorregistration: current employment
Dec 17, 2025 to presentfactForm ADV
← M••• W•••••• S••••••Advisorregistration: current employment
Oct 27, 2025 to presentfactForm ADV
← R••••• C•••••• S•••••••Advisorregistration: previous registration
May 1, 2012 to Oct 28, 2020factForm ADV
← A••••• I•••• S•••••••

Dated events

Occurred
Dec 18, 2024
Control person joined
Thomas Brian Sanborn (Chief Operations Officer, Head Of Investment Solutions) appeared on Schedule A of N•• D•••• R•••••••• I•••
Form ADVobserved 7 days ago
Occurred
Dec 18, 2024
Control person joined
Caroline Nina Best (Board Member, Chief Legal Officer, Secretary) appeared on Schedule A of N•• D•••• R•••••••• I•••
Form ADVobserved 7 days ago
Occurred
Dec 18, 2024
Control person left
Robert Jeffrey Herold (Board Director And Director Financial Planning & Analysis) no longer on Schedule A of N•• D•••• R•••••••• I••• (listed 2024-10-16, absent 2024-12-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:742c85b4-7acd-16ac-df84-a0f14d13b642
First observed: Dec 21, 2011
Last observed: Dec 18, 2025 9 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.

Controls (14)

← J••••••••• P•••• M••••••OwnerDIRECTOR AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 23, 2021 to Dec 18, 2024factForm ADV
← S••••••• B••••• T•••••OwnerCHIEF OPERATIONS OFFICER, HEAD OF INVESTMENT SOLUTIONS, ownership code NA, individual
Dec 18, 2024 to Dec 18, 2024factForm ADV
← C••••••• C••••••••• C••••••OwnerCHIEF FINANCIAL OFFICER, ASSET MANAGEMENT DIVISION, D•••••••, ownership code NA, individual
Jul 31, 2023 to Dec 18, 2024factForm ADV
← B•••• N•••• C•••••••OwnerBOARD MEMBER, CHIEF LEGAL OFFICER, SECRETARY, ownership code NA, individual
Dec 18, 2024 to Dec 18, 2024factForm ADV
← B••••••• B•••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Dec 21, 2022 to Dec 18, 2024factForm ADV
← D••••••• H••••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Dec 18, 2024 to Dec 18, 2024factForm ADV
← D••••••• H••••••• U• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Jul 31, 2023 to Dec 18, 2024factForm ADV
← D••••••• L•••OwnerSHAREHOLDER-COMMON STOCK, ownership code E, foreign entity
Jul 31, 2023 to Dec 18, 2024factForm ADV
← E••••• C•••••••• G• I•• L••••••OwnerGENERAL PARTNER, ownership code F, foreign entity
Jul 31, 2023 to Dec 18, 2024factForm ADV
← E••••• F••• I•• •• L•OwnerSHAREHOLDER, ownership code C, foreign entity
Jul 31, 2023 to Dec 18, 2024factForm ADV
← E••••• F••• I•• C••••••••• •• L•OwnerSHAREHOLDER, ownership code C, foreign entity
Jul 31, 2023 to Dec 18, 2024factForm ADV
← E••••• G• I•• L••••••OwnerGENERAL PARTNER, ownership code F, foreign entity
Jul 31, 2023 to Dec 18, 2024factForm ADV
← H••••• H••••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Dec 21, 2022 to Dec 18, 2024factForm ADV
← M••••••• M•••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Dec 21, 2022 to Dec 18, 2024factForm ADV