DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

C•• C•••••• C•••••••••

CRD 129789

NEW YORK, NY

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Search this name across graphsid dfx:ria:7e3e74f7-395c-290c-2311-532cb6d792ff

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 2
Observed: Mar 30, 2012 to Mar 31, 2026
18 observations

Across DFX

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

Private Equityidentity

C•• C•••••• C•••••••••

Private equity manager · shared crd

Independent Sponsorsidentity

C•• C•••••• C•••••••••

Capital provider to sponsors · shared crd

Facts

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

Firm class: mixed wealth managerderivedprivate_client_share=0.34 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $630Mderived••• Locked
Private client share: 34%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F•••• N••• O••••••• F•••• L•••	Hedge Fund	$17.7M	Mar 29, 2018	3	Mar 30, 2012	dropped	021-76627
F•••• N••• S••••••••• F•••••• L••	Private Equity Fund	$0	Mar 31, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• C••••••••• S•••••	PRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER	E	yes	02/2002	Mar 31, 2026	Mar 31, 2026
T•• E•••••• A• S• M•••• 2•••	T•••••• J. F. M••••, TRUSTEE;	A	no	01/2021	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• N••• S••••••••• G• L••	n/a	n/a	n/a	Y	no	n/a

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	$1.8B	$1.7B	6.5%	$1.3B	11.6%	9	10	0	0

Relationships

Advises (4)

→ F•••• N••• S••• S•••••• F••• L•Private fundPrivate Equity Fund, IA
Mar 29, 2018 to presentfactForm ADV
→ F•••• N••• S••••••••• F•••••• L••Private fundPrivate Equity Fund, IA
Mar 29, 2018 to presentfactForm ADV
→ F•••• N••• O••••••• F•••• L•••Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 29, 2018factForm ADV
→ F•••• N••• P•••••••• L•

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e3e74f7-395c-290c-2311-532cb6d792ff
First observed: Mar 30, 2012
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.