DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

A••••• M••••••• L••

CRD 327828

NEW YORK, NY

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Search this name across graphsid dfx:ria:78b6d540-de7c-8f30-f6e5-8c98a733aa02

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 14
On other graphs: 0
Observed: Aug 25, 2023 to Mar 31, 2026
10 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=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=571.0
Regulatory AUM: $3.6B••• Locked
Discretionary RAUM: $3.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3,564

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• H••••••• ••••••••• L•••	LIMITED PARTNER	E	yes	10/2012	Dec 10, 2024	Dec 10, 2024
A•• H••••••• G•• L•••	GENERAL PARTNER	F	yes	10/2012	Aug 25, 2023	Dec 10, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• C•••••• M••••••••• L•••	n/a	OTHER_A••••••	$718B	N	yes	n/a
A••••• C••••• M••••••••• L••	n/a	ASSET_M••••••	$30B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
GOREGAON EAST, MUMBAI	n/a	India	577	no
NEW YORK	NY	United States	431	no
London	n/a	United Kingdom	360	no
EL SEGUNDO	CA	United States	221	no
Greenwich	Ct

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$3.6B	$1.3B	180.6%	n/a	n/a	3,564	3,126	28	32

Relationships

Affiliated with (14)

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

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$2.3B
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78b6d540-de7c-8f30-f6e5-8c98a733aa02
First observed: Aug 25, 2023
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)

← Z•••••• J••••• C••••••OwnerCO-PRESIDENT OF A••••• A•••• M••••••••• I•••, ownership code NA, individual
Aug 25, 2023 to Dec 10, 2024factForm ADV
← R••••• M•••• J••••••OwnerCHIEF EXECUTIVE OFFICER OF A••••• G••••• M••••••••• I•••, ownership code NA, individual
Aug 25, 2023 to Dec 10, 2024factForm ADV
← K•••••••• S••••• M•••••OwnerCO-PRESIDENT OF A••••• A•••• M••••••••• I•••, ownership code NA, individual
Aug 25, 2023 to Dec 10, 2024factForm ADV
← L•••• Y•••• K••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 25, 2023 to Dec 10, 2024factForm ADV
← K••••• M•••••• B••••••OwnerCHIEF FINANCIAL OFFICER OF A••••• G••••• M••••••••• I•••, ownership code NA, individual
Aug 25, 2023 to Dec 10, 2024factForm ADV
← C••••••••• W••••••• A•OwnerCHIEF LEGAL OFFICER, ownership code NA, individual
May 10, 2024 to Dec 10, 2024factForm ADV
← A•• H••••••• ••••••••• L•••OwnerLIMITED PARTNER, ownership code E, domestic entity
Dec 10, 2024 to Dec 10, 2024factForm ADV
← A•• H••••••• G•• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Aug 25, 2023 to Dec 10, 2024factForm ADV
← A•• C••••OwnerLIMITED PARTNER, ownership code D, domestic entity
Aug 25, 2023 to Dec 10, 2024factForm ADV
← A••••• A•••• M••••••••• I•••OwnerLIMITED PARTNER, ownership code C, domestic entity
Aug 25, 2023 to Dec 10, 2024factForm ADV
← A••••• G••••• M••••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Aug 25, 2023 to Dec 10, 2024factForm ADV
← A••••• M••••••••• H••••••• G•• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Aug 25, 2023 to Dec 10, 2024factForm ADV
← A••••• M••••••••• H•••••••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Aug 25, 2023 to Dec 10, 2024factForm ADV