DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

D•••• S••••••• A••••••• • N•• I•••

CRD 106659

NEW YORK, NY

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Search this name across graphsid dfx:ria:7b49319d-183f-ca79-6094-642472508298

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 19, 2012 to Mar 19, 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: asset managerderivedprivate_client_share=0.0 fund_share=0.75 institutional_share=0.23 related_bd=true related_bank=false bd_reps=18.0
Regulatory AUM: $22B••• Locked
Discretionary RAUM: $22B
Private client RAUM: $71.2Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 57

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• I••••••••• L••	GENERAL PARTNER	F	yes	12/2000	Mar 19, 2012	Mar 20, 2024
D•••• S••••••• A••••••• L•	100% CORPORATE OWNER	E	yes	09/1996	Mar 19, 2012	Mar 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• S••••••• A••••••• L•	n/a	Asset manager	$30B	Y	yes	n/a
D•••• D••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Tucson	Az	United States	1	yes

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	$22B	$18B	19.0%	$15B	13.7%	57	57	1	1

Relationships

Affiliated with (2)

→ D•••• S••••••• A••••••• L•Registered adviserother investment adviser, control, common control
factForm ADV
← D•••• S••••••• A••••••• L•Registered adviserother investment adviser, control, common control
factForm ADV

Controls (3)

← D•••• S••••••• A••••••• L•Owner100% CORPORATE OWNER, ownership code E, domestic entity
Mar 19, 2012 to Mar 20, 2024factForm ADV
← D••••• C••••••••• C•••••Owner

Dated events

Occurred
Mar 23, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-5.7B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b49319d-183f-ca79-6094-642472508298
First observed: Mar 19, 2012
Last observed: Mar 19, 2026 6 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.