DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

S•••• S•••• M••••••••• I••

CRD 112379

GREENWICH, CT

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Search this name across graphsid dfx:ria:7a943f3d-7555-83d3-a099-8100ae239590

Data as of Apr 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 1
Observed: Mar 15, 2012 to Apr 9, 2026
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

S•••• S•••• M••••••••• I••

Capital provider to sponsors · shared crd

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=0.35 institutional_share=0.47 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $3.4B••• Locked
Discretionary RAUM: $3.4B
Private client RAUM: $3.6Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $3.4Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••••• G•••• K•••	n/a	GREENWICH, CT	43	49	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• S•••• C••••••••• F•••• L••	Other Private Fund	$25.2M	May 28, 2024	3	Mar 15, 2012	reported	021-139804
S•••• S•••• G••••• F•••• L••	Other Private Fund	$9.4M	Jun 16, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• H••••	CO-CHAIRMAN/DIRECTOR	C	yes	05/1978	Mar 15, 2012	May 28, 2024
D••••••• J•••• P••••••	President	B	yes	12/2013	Mar 15, 2012	May 28, 2024

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	$3.4B	$3.2B	6.3%	$2.8B	6.4%	16	16	0	0

Relationships

Advises (2)

→ S•••• S•••• C••••••••• F•••• L••Private fundOther Private Fund, IA
Mar 15, 2012 to presentfactForm ADV
→ S•••• S•••• G••••• F•••• L••Private fundOther Private Fund, IA, no longer reported
Mar 26, 2015 to Jun 16, 2020factForm ADV

Registered with (1)

← T••••••• G•••• K•••Advisorregistration: current employment
Aug 4, 1983 to presentfactForm ADV

Owns (6)

Dated events

Occurred
Mar 16, 2020
Control person left
Leonard Jonathan Steinmetz (Analyst) no longer on Schedule A of S•••• S•••• M••••••••• I•• (listed 2019-03-29, absent 2020-03-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a943f3d-7555-83d3-a099-8100ae239590
First observed: Mar 15, 2012
Last observed: Apr 9, 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.