DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A••••••• C•••••• A••• M••••••••• L••

CRD 169128

NEW YORK, NY

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Search this name across graphsid dfx:ria:7afddb78-672d-6ebb-fef7-0053e6c2984c

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Sep 18, 2013 to Mar 30, 2016
5 observations

Across DFX

name candidates only

Private Creditcandidate

A••••••• C•••••• A••• M••••••••• L••

Credit provider · name unique adv

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $236M••• Locked
Discretionary RAUM: $236M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 29
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• C•••••• A•••• M••••••••• L••	SOLE MEMBER	E	yes	02/2013	Sep 18, 2013	Mar 30, 2016
A••••••• C•••••• L•••••••• F•••••• M••••••••• L••	SOLE MEMBER	E	yes	08/2013	Sep 18, 2013	Mar 30, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• C•••••• A••• M••••••••• L••	n/a	Former SEC adviser	$82B	N	yes	n/a
A••••••• C•••••• M••• M••••••••• L••	n/a	Former SEC adviser	$6.0B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Bethesda	Md	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$236M	$282M	-16.5%	n/a	n/a	29	28	n/a	n/a

Relationships

Affiliated with (4)

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

Dated events

Occurred
Sep 18, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7afddb78-672d-6ebb-fef7-0053e6c2984c
First observed: Sep 18, 2013
Last observed: Mar 30, 2016 127 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.