DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

U•• S••••••••• L••

CRD 7654

NEW YORK, NY

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Data as of Jan 24, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 0
On other graphs: 4
Observed: Nov 14, 2011 to Jan 24, 2013
37 observations

Across DFX

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

Venture Capitalidentity

U•• S••••••••• L••

Venture manager · key_crd, shared_crd

Independent Sponsorsidentity

U•• S••••••••• L••

Intermediary · key_crd, shared_crd

Private Equityidentity

U•• S••••••••• L••

Intermediary · key_crd, shared_crd

Real Estate Fundsidentity

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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2,700
Advisory employees: 0
SEC number: 801-67178
CRD: 7654
Filings on the tape: 37
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• D•••• A•••••	MANAGING DIRECTOR, US EQUITIES RESEARCH	Na	yes	03/2011	Nov 14, 2011	Jan 24, 2013
C•••••••• S•••••• E•	MANAGING DIRECTOR, CHAIRMAN, INVESTMENT BANKING DEPARTMENT	Na	yes	04/2012	Apr 20, 2012	Jan 24, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•• F•••••••• S••••••• I•••	n/a	Wirehouse	$916B	N	yes	n/a
U•• G••••• A•••• M••••••••• ••••••••• I•••	n/a	Mixed wealth	$588B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	n/a	no
Chicago	IL	United States	n/a	no
Boston	Ma	United States	n/a	no
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 13, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	n/a	n/a	n/a	n/a	n/a	2,700	n/a	n/a	n/a

Relationships

Affiliated with (15)

← U•• F•••••••• S••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← U•• A•••• M••••••••• C••••• I••••••••• G•••• ••• L••Registered adviserbroker-dealer, bank, trust company, common control
factForm ADV
← U•• A•••• M••••••••• ••••••••• L••Registered adviserbroker-dealer, bank, trust company, CPO/CTA, common control
factForm ADV
← U•• F••••••• I•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 14, 2011
Last observed: Jan 24, 2013 166 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.

All 14 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• T•••••	MANAGING DIRECTOR, HEAD OF A••••••• IB OPERATIONS	Na	no	05/2011	Nov 14, 2011	Jan 24, 2013
K••••• D•••• H•	MANAGING DIRECTOR-MANAGING ATTORNEY	Na	no	12/2011	Dec 16, 2011	Jan 24, 2013
M••••••• B•••• M••••••	CHIEF COMPLIANCE OFFICER	Na	no	01/2012	Jan 10, 2012	Jan 24, 2013
P••••• D••• L•••	CHIEF COMPLIANCE OFFICER-INVESTMENT ADVISOR	Na	no	09/2012	Sep 27, 2012	Jan 24, 2013