DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 10b 100b

R•••••• C•••••• M••••••••• L••

CRD 158243

NEW YORK, NY

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Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 15
On other graphs: 1
Observed: Feb 16, 2012 to May 12, 2026
26 observations

Across DFX

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

Private Creditidentity

R•••••• C•••••• M••••••••• L••

Private credit manager · Key CRD

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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $11B••• Locked
Discretionary RAUM: $11B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••••• M••••• F•••• L•••	Hedge Fund	$4.7B	May 12, 2026	333	Feb 16, 2012	reported	021-60239
R•••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$2.5B	May 12, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• A•••• M••••••	GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER	Na	yes	06/2019	Jun 4, 2019	Mar 28, 2024
D••••• T•••• K• R••••••• L••	LIMITED PARTNER	C	yes	01/2023	Mar 31, 2023	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• C•••••• M••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
R•••••• D••••••• F••••• P••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
R•••••• D••••••• F••••• P••••••• I••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SUNNY ISLES BEACH	FL	United States	6	no

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	$11B	$11B	1.2%	$9.3B	5.6%	33	31	1	1

Relationships

Advises (8)

→ R•••••• D••••••• M••••• F••• I••• L•••Private fundHedge Fund, IA
Jul 21, 2021 to presentfactForm ADV
→ R•••••• E••••••• I••••• F•••• L•Private fundHedge Fund, IA
May 12, 2026 to presentfactForm ADV
→ R•••••• M••••• F•••• L•••Private fundHedge Fund, IA
Feb 16, 2012 to presentfactForm ADV
→ R•••••• O••••••••• M••••• F•••• L•••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
12 May 2026
Private fund first reported2 events
Private fund first reported: 2 on 12 May 2026
$312M to $2.1B
- ••• Locked$2.1B
- ••• Locked$312M
Occurred
12 May 2026
Private fund no longer reported
••• Locked
Form ADV
$365M
Occurred
12 May 2026
Ria indirect owner change2 events
R•••••• C•••••• M••••••••• L••: ria indirect owner change, 2 events, on 12 May 2026
- ••• Locked
- ••• Locked
Occurred
21 Jul 2021
Control person joined
••• Locked
Form ADV
Occurred
30 Mar 2021
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 16, 2012
Last observed: May 12, 2026 4 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 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• S•••• I••	DEPUTY-CHIEF EXECUTIVE OFFICER, CO-CHIEF INVESTMENT OFFICER	Na	yes	04/2020	Mar 30, 2020	Mar 28, 2024
S•••••••• A•••••• D•••••	HEAD TRADER	Na	yes	03/2007	Feb 16, 2012	Mar 28, 2024
T••••• F••••• T••••	SOLE MEMBER	E	yes	08/2018	Mar 30, 2020	Mar 28, 2024
T••••• M••••••• L••	Member	C	yes	01/2023	Mar 30, 2020	Mar 28, 2024
T••••• M••••••• L••	Member	C	yes	04/2020	Mar 30, 2020	Mar 28, 2024
W••••••••• E•••• N••	Trustee	F	yes	08/2018	Mar 30, 2020	Mar 28, 2024

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 21, 2016	$6.8B	$6.8B	17	11	n/a	4	$6.6B
2014	Feb 27, 2015	$7.4B	$7.4B	17	11	n/a	4	$7.1B
2013	Mar 31, 2014	$7.5B	$7.5B	16	10	n/a	3	$7.3B
2012	Mar 28, 2013	$6.2B	$6.2B	15	9	n/a	2	$5.9B