DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

C••• I••••••••• M••••••••• L••

CRD 107050

MIAMI, FL

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Search this name across graphsid dfx:ria:76ff7167-8fd9-c264-74ea-b84d607b5856

Data as of Aug 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 8
On other graphs: 0
Observed: Mar 30, 2012 to Aug 4, 2026
33 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=false related_bank=true bd_reps=0.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 200

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••••••••• C•• L••• A•• B••••••••• C•• L••	Securitized Asset Fund	$520M	May 17, 2013	12	Mar 30, 2012	dropped	n/a
S••••••• P••• C•• L••• A•• S••••••• P••• C•• C••••	Other Private Fund	$261M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• H•••• B•• K••••••	SOLE MEMBER	E	yes	11/2012	Dec 1, 2016	Mar 29, 2024
C•••••••• F•••••••• I••••••••• L•	L•••••• PARTNER	E	yes	08/2016	Jul 27, 2017	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••• A•••• M••••••••• L••	n/a	Asset manager	$45B	N	yes	n/a
C••• A•••• M••••••••• E••••• L••	n/a	n/a	n/a	N	yes	n/a
C••• C•• A•••• F••• G• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	36	no
n/a	n/a	n/a	1	no

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	$1.0B	$915M	14.0%	$460M	31.4%	200	218	2	2

Relationships

Affiliated with (4)

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

Dated events

Occurred
Mar 28, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$323M
Occurred
Mar 29, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$132M
Occurred
Aug 12, 2022
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76ff7167-8fd9-c264-74ea-b84d607b5856
First observed: Mar 30, 2012
Last observed: Aug 4, 2026 49 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.