DFX Intelligence

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

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RIA / WealthRegistered adviserMixed wealth managerSEC registeredRAUM 10b 100b

G•••• A•••• M••••••••• I•••

CRD 104950

GREENWICH, CT

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 8
On other graphs: 0
Observed: Dec 21, 2011 to Mar 31, 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: mixed wealth managerderivedprivate_client_share=0.4 fund_share=0.38 institutional_share=0.2 related_bd=true related_bank=false bd_reps=68.0
Regulatory AUM: $12B••• Locked
Discretionary RAUM: $12B
Private client RAUM: $4.6Bderived••• Locked
Private client share: 40%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $1.2Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• M•••• P•••••	n/a	RYE, NY	26	42	n/a	yes
D•••••• R•••••• J•••••••	n/a	RYE, NY	26	38

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• P••••••••• P•••••••••	Hedge Fund	$331M	Mar 31, 2026	28	Mar 30, 2012	reported	021-80710

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• C•••••••••	MANAGING DIRECTOR, DIRECTOR	Na	yes	01/2010	Mar 31, 2026	Mar 31, 2026
D•••••• K••••• V•••••	MANAGING DIRECTOR, CO-CIO VALUE	Na	yes	01/2015	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• F••••• L••	n/a	Asset manager	$25B	N	yes	n/a
G•••••• • C•••••• I••••••••• A•••••••• I•••	n/a	Asset manager	$1.5B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Greenwich	Ct	United States	3	yes
PALM BEACH	FL	United States	2	yes
Morristown	Nj	United States	2	no
Reno	Nv	United States	2	yes

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	$12B	$10B	11.8%	$11B	3.3%	120	105	6	5

Relationships

Affiliated with (10)

← G•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← G•••••• F••••• L••Registered adviserother investment adviser, common control
factForm ADV
← G•••••• • C•••••• I••••••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ G•••••• F••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 31, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 21, 2011
Last observed: Mar 31, 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.

Controls (13)

← G••••••• M••••• J•••••OwnerCEO, DIRECTOR AND THE MAJORITY SHAREHOLDER OF COMMON STOCK, ownership code E, individual
Dec 21, 2011 to Mar 26, 2024factForm ADV
← P•••••• R•••••• M••••OwnerMANAGING DIRECTOR, DIRECTOR, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← O•••••••• D••••• E••••OwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← D••••••••• C•••••••••OwnerMANAGING DIRECTOR, DIRECTOR, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← G•••• I••••••••• I•••OwnerSHAREHOLDER-100% OWNER OF APPLICANT, ownership code E, domestic entity
Mar 31, 2026 to presentfactForm ADV
← J•••••••• D•••••••OwnerPRESIDENT, CHIEF OPERATING OFFICER, MANAGING, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← M••••••• C•••••••••OwnerMANAGING DIRECTOR, CO-CIO VALUE, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← S••••••• P•••• M••••OwnerMANAGING DIRECTOR, DIRECTOR, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← D•••••• K••••• V•••••OwnerMANAGING DIRECTOR, CO-CIO VALUE, ownership code NA, individual
Mar 31, 2026 to presentfactForm ADV
← C•••••••• K•••••• D••••••OwnerCO CHIEF ACCOUNTING OFFICER, ownership code NA, individual
Mar 29, 2016 to Mar 26, 2024factForm ADV
← G••••••• D••••• M•••OwnerGENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 21, 2011 to Mar 26, 2024factForm ADV
← G••• H••••••• L••OwnerMAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK, ownership code E, domestic entity
Dec 21, 2011 to Mar 26, 2024factForm ADV
← G•••• I•••OwnerMANAGER AND MEMBER, ownership code E, domestic entity
Dec 21, 2011 to Mar 26, 2024factForm ADV